FCCC/CP/2011/9/Add.1

Decision 2/CP.17

Outcome of the work of the Ad Hoc Working Group on

Long-term Cooperative Action under the Convention

The Conference of the Parties,

I. A shared vision for long-term cooperative action

Recalling decision 1/CP.13 (the Bali Action Plan) and decision 1/CP.16, elaborating

on a shared vision for long-term cooperative action, in particular the mandate contained in

decision 1/CP.16, paragraphs 5 and 6, with regard to working towards identifying a global

goal for substantially reducing global emissions by 2050 and a time frame for a global

peaking of greenhouse gas emissions,

1. Agrees, in the context of the long-term goal and the ultimate objective of the

Convention and the Bali Action Plan, to continue to work towards identifying a global goal

for substantially reducing global emissions by 2050, and to consider it at its eighteenth

session;

2. Also agrees to continue to work, in the context of the provisions of decision

1/CP.16, paragraph 6, towards identifying a time frame for the global peaking of

greenhouse gas emissions based on the best available scientific knowledge and equitable

access to sustainable development, and to consider it at its eighteenth session;

3. Further agrees that consideration of a global goal for substantially reducing global

emissions by 2050 and the time frame for global peaking of greenhouse gas emissions

cannot be undertaken in the abstract and will necessarily involve matters related to the

context for such considerations;

4. Requests the Ad Hoc Working Group on Long-term Cooperative Action under the

Convention to consider the issue of equitable access to sustainable development, as

contained in decision 1/CP.16, through a workshop at its next session; the Ad Hoc Working

Group on Long-term Cooperative Action under the Convention shall report on the

workshop to the Conference of the Parties as part of its work;

II. Enhanced action on mitigation

A. Nationally appropriate mitigation commitments or actions by

developed country Parties

Matters relating to decision 1/CP.16, paragraphs 36–38

Recalling decision 1/CP.16, which recognizes that climate change represents an

urgent and potentially irreversible threat to human societies and the planet, and thus

requires to be urgently addressed by all Parties,

Also recalling decision 1/CP.13 in relation to ensuring the comparability of

mitigation efforts among all developed country Parties in a measurable, reportable and

verifiable manner,

Recognizing that deep cuts in global greenhouse gas emissions are required

according to science, as documented in the Fourth Assessment Report of the

FCCC/CP/2011/9/Add.1

Intergovernmental Panel on Climate Change, with a view to reducing global greenhouse

gas emissions so as to hold the increase in global average temperature below 2 °C above

pre-industrial levels, and that Parties should take urgent action to meet this long-term goal,

consistent with science and on the basis of equity; also recognizing the need to consider, in

the context of the first review of the long-term global goal, as referred to in decision

1/CP.16, paragraph 138, strengthening the long-term global goal on the basis of the best

available scientific knowledge, including in relation to a global average temperature rise of

1.5 °C,

Acknowledging that there is a gap between the aggregate level of reduction in

emissions of greenhouse gases to be achieved through global mitigation efforts and the

reduction needed as part of the global effort to achieve the range indicated in the Fourth

Assessment Report of the Intergovernmental Panel on Climate Change,

Recognizing that the clarification of developed country Parties’ quantified economy-

wide emission reduction targets builds confidence and trust among Parties,

Urging developed country Parties to increase the ambition of their economy-wide

emission reduction targets, with a view to reducing their aggregate anthropogenic emissions

of carbon dioxide and other greenhouse gases not controlled by the Montreal Protocol to a

level consistent with the ranges documented in the Fourth Assessment Report of the

Intergovernmental Panel on Climate Change and subsequent assessment reports of the

Intergovernmental Panel on Climate Change,

Noting the quantified economy-wide emission reduction targets to be implemented

by Parties included in Annex I to the Convention (Annex I Parties) as communicated by

them and contained in document FCCC/SB/2011/INF.1/Rev.1,

5. Decides to continue in 2012 the process of clarifying the developed country Parties’

quantified economy-wide emission reduction targets contained in document

FCCC/SB/2011/INF.1/Rev.1, with the objective of understanding the assumptions and

conditions related to the individual targets, in particular in relation to the base year, global

warming potential values, coverage of gases, coverage of sectors, expected emission

reductions, and the role of land use, land-use change and forestry, and carbon credits from

market-based mechanisms, and associated assumptions and conditions related to the

ambition of the pledges; this process shall include the following:

(a) Submission of relevant information by developed country Parties, using a

common template, to the secretariat by 5 March 2012 to be compiled into a miscellaneous

document;

(b) In-session workshops;

6. Requests the secretariat to compile additional information relating to the quantified

economy-wide emission reduction targets submitted by developed country Parties in a

miscellaneous document;

7. Also requests the secretariat to organize the workshops referred to in paragraph 5(b)

above in conjunction with the thirty-sixth sessions of the subsidiary bodies and to prepare a

written workshop report in a structured manner;

8. Further requests the secretariat to prepare the technical paper referred to in

paragraph 5(c) above, compiling all the information contained in Parties’ submissions in a

structured manner, and to further update that paper as new information is provided by

Parties;

9. Acknowledges the value of ex ante information, and the need to elaborate rigorous,

robust and transparent approaches in a systematic manner to measure progress towards the

FCCC/CP/2011/9/Add.1

achievement of economy-wide emission reduction targets, building on existing processes,

practices and experiences;

10. Decides to hold workshops to explore the assumptions and conditions related to

targets, including the elements listed in paragraph 5 above, and requests the secretariat to

produce a technical paper exploring the commonalities and differences of approaches;

11. Requests developed country Parties to share experiences with the development of

low-emission development strategies during the in-session workshops referred to in

paragraph 5(b) above, and invites developed country Parties to submit information related

to progress towards the formulation of their low-emission development strategies;

UNFCCC biennial reporting guidelines for developed country Parties

Recalling the relevant provisions of the Convention, in particular Articles 4, 5, 7, 10

and 12, and decisions 9/CP.2, 11/CP.4 and 4/CP.5 on national communications from Annex

I Parties,

Also recalling that by decision 1/CP.16 it decided to enhance reporting in national

communications of Annex I Parties, and on progress in achieving emission reductions and

on the provision of financial, technology and capacity-building support to Parties not

included in Annex I to the Convention (non-Annex I Parties), building on existing reporting

and review guidelines, processes and experiences,

12. Adopts the guidelines contained in annex I on the preparation of biennial reports by

developed country Parties (the “UNFCCC biennial reporting guidelines for developed

country Parties”);

13. Decides that developed country Parties shall use the “UNFCCC biennial reporting

guidelines for developed country Parties” for the preparation of their first biennial reports,

taking into account their national circumstances, and shall submit their first biennial reports

to the secretariat by 1 January 2014, and their second and subsequent biennial reports two

years after the due date of a full national communication (i.e. in 2016, 2020);

14. Also decides that Annex I Parties shall submit a full national communication every

four years, noting that the next due date after adoption of this decision is 1 January 2014

according to decision 9/CP.16;

15. Further decides that in the years when the full national communications are

submitted, developed country Parties should present the biennial reports as an annex to the

national communications or as a separate report;

16. Decides to establish a work programme under the Subsidiary Body for Scientific and

Technological Advice on the development of a common tabular format for the electronic

reporting of information according to the reporting guidelines referred to in paragraph 12

above, with a view to adopting the format by the Conference of the Parties at its eighteenth

session;

17. Invites Annex I Parties to make submissions of views by 1 March 2014 on their

experience with reporting the first biennial reports;

18. Requests the Subsidiary Body for Implementation to begin, at its fortieth session, the

revision of the “Guidelines for the preparation of national communications by Parties

included in Annex I to the Convention, Part II: UNFCCC reporting guidelines on national

communications”, based on the experiences gained in preparing the first biennial reports

and other information, with a view to adopting the revised guidelines by the Conference of

the Parties at its twentieth session;

19. Also requests the Subsidiary Body for Scientific and Technological Advice to

develop, taking into account existing international methodologies, and based on the

FCCC/CP/2011/9/Add.1

experiences gained in preparing the first biennial reports, methodologies for reporting

financial information with a view to recommending a decision on this matter to the

Conference of the Parties at its twentieth session;

20. Requests the secretariat to prepare a technical paper based on the submissions of

views by Parties referred to in paragraph 17 above, with the aim of facilitating

consideration by the Subsidiary Body for Implementation, at its forty-first session, of the

matters referred to in paragraph 18 above;

21. Also requests the secretariat to prepare a compilation and synthesis report on the

information reported by developed country Parties in the biennial reports referred to in

paragraph 13 above, for consideration by the Conference of the Parties at its twentieth

session and subsequent sessions, according to Article 7, paragraph 2(g), of the Convention;

22. Encourages Parties included in Annex II to the Convention (Annex II Parties) to

assist Annex I Parties with economies in transition and those Annex I Parties whose special

circumstances are recognized under the Convention, as necessary, through appropriate

bilateral or multilateral channels, with technical aspects of the preparation of their biennial

reports;

Modalities and procedures for international assessment and review

Recalling decisions 2/CP.1, 9/CP.2, 6/CP.3, 6/CP.5, 33/CP.7, 19/CP.8, 12/CP.9,

18/CP.10 and 1/CP.13,

Also recalling decision 1/CP.16, establishing a process for the international

assessment and review of emissions and removals related to developed country Parties’

quantified economy-wide emission reduction targets under the Subsidiary Body for

Implementation, taking into account national circumstances, in a rigorous, robust and

transparent manner, with a view to promoting comparability and building confidence,

Responding to the work programme launched by decision 1/CP.16 to develop

modalities and procedures for international assessment and review, and building on existing

review guidelines, processes and experiences,

Recognizing that the international assessment and review process should promote

the comparability of efforts among all developed country Parties, including in relation to

their quantified economy-wide emission limitation and reduction targets,

Also recognizing the need to have an efficient, cost-effective and practical

international assessment and review process which does not impose an excessive burden on

Parties and on the secretariat,

23. Decides that the international assessment and review process will be conducted

through a technical review of information and a multilateral assessment of the

implementation of quantified economy-wide emission reduction targets;

24. Adopts the modalities and procedures for international assessment and review as

contained in annex II, and decides to use them until any revisions are decided upon by the

Conference of the Parties;

25. Agrees that the first round of international assessment and review should commence

two months after the submission of the first round of biennial reports by developed country

Parties, and should be conducted in accordance with the modalities and procedures referred

to in paragraph 24 above;

26. Decides to revise the modalities and procedures prescribed herein on the basis of the

experience gained in the first round of international assessment and review, no later than

2016;

FCCC/CP/2011/9/Add.1

27. Also decides that the review of annual national greenhouse gas inventories will

continue on an annual basis, and that international assessment and review will be conducted

every two years for the biennial reports, whether independently or in conjunction with a

national communication;

28. Further decides to establish a work programme under the Subsidiary Body for

Scientific and Technological Advice, with a view to concluding the revision of the

guidelines for the review of biennial reports and national communications, including

national inventory reviews to be concluded no later than the nineteenth session of the

Conference of the Parties;

29. Requests the secretariat to enhance coordination between different review processes

in such a way as to ensure effective and efficient processes and procedures;

30. Agrees that the outputs of the multilateral assessment will comprise, for each Party,

a record prepared by the secretariat, which will include in-depth review reports, the

summary report of the Subsidiary Body for Implementation, questions submitted by Parties

and responses provided, and any other observations of the Party under review that are

submitted within two months of the working group session of the Subsidiary Body for

Implementation;

31. Also agrees that any revision of the modalities and procedures for international

assessment and review should take into account any future agreement on a compliance

regime for mitigation targets under the Convention;

B. Nationally appropriate mitigation actions by developing country Parties

Matters relating to decision 1/CP.16, paragraphs 48–51

Recalling decision 1/CP.16, which recognizes that climate change represents an

urgent and potentially irreversible threat to human societies and the planet, and thus

requires to be urgently addressed by all Parties,

Recognizing that deep cuts in global greenhouse gas emissions are required

according to science, and as documented in the Fourth Assessment Report of the

Intergovernmental Panel on Climate Change, with a view to reducing global greenhouse

gas emissions so as to hold the increase in global average temperature below 2 °C above

pre-industrial levels, and that Parties should take urgent action to meet this long-term goal,

consistent with science and on the basis of equity; also recognizing the need to consider, in

the context of the first review, as referred to in decision 1/CP.16, paragraph 138,

strengthening the long-term global goal on the basis of the best available scientific

knowledge, including in relation to a global average temperature rise of 1.5 °C,

Acknowledging that there is a gap between the aggregate level of reduction in

emissions of greenhouse gases to be achieved through global mitigation efforts and the

reduction needed as part of the global effort to achieve the range indicated in the Fourth

Assessment Report of the Intergovernmental Panel on Climate Change,

Recognizing that understanding the diversity of mitigation actions submitted by

developing country Parties, their underlying assumptions and methodologies, builds

confidence and trust among Parties,

Also recognizing that developing country Parties are already contributing and will

continue to contribute to a global mitigation effort in accordance with the principles and

provisions of the Convention, and could enhance their mitigation actions, depending on

provision of finance, technology and capacity-building support by developed country

Parties,

FCCC/CP/2011/9/Add.1

Reaffirming that social and economic development and poverty eradication are the

first and overriding priorities of developing country Parties, and that a low-emission

development strategy is central to sustainable development, and that the share of global

emissions originating in developing countries will grow to meet their social and

development needs,

Also reaffirming that, in accordance with Article 4, paragraph 3, of the Convention,

developed country Parties shall provide enhanced financial, technology and capacity-

building support for the preparation and implementation of nationally appropriate

mitigation actions of developing country Parties,

Noting the nationally appropriate mitigation actions to be implemented by non-

Annex I Parties, as communicated by them and contained in the document

FCCC/AWGLCA/2011/INF.1,

32. Encourages developing country Parties that are yet to submit information on

nationally appropriate mitigation actions pursuant to decision 1/CP.16, paragraph 50, to do

so, noting the need to extend flexibility to small island developing States and the least

developed country Parties;

33. Decides to continue, in 2012, workshops, in a structured manner, to further the

understanding of the diversity of mitigation actions as communicated and contained in

document FCCC/AWGLCA/2011/INF.1, underlying assumptions and any support needed

for the implementation of these actions, noting different national circumstances and the

respective capabilities of developing country Parties;

34. Invites developing country Parties, with a view to providing input to the process

referred to in paragraph 33 above, to submit, subject to availability, more information

relating to nationally appropriate mitigation actions, including underlying assumptions and

methodologies, sectors and gases covered, global warming potential values used, support

needs for the implementation of nationally appropriate mitigation actions and estimated

mitigation outcomes;

35. Also invites developing country Parties to submit this information to the secretariat,

by 5 March 2012, to be compiled into a miscellaneous document;

36. Requests the secretariat to organize the in-session workshops referred to in

paragraph 33 above in conjunction with the thirty-sixth session of the subsidiary bodies and

to prepare written workshop summary reports;

37. Also requests the Subsidiary Body for Scientific and Technological Advice to

develop general guidelines for domestic measurement, reporting and verification of

domestically-supported nationally appropriate mitigation actions;

38. Encourages developing country Parties to develop low-emission development

strategies, recognizing the need for financial and technical support by developed country

Parties for the formulation of these strategies, and invites interested developing country

Parties to share their experience with the formulation of low-emission development

strategies during the in-session workshops referred to in paragraph 36 above;

UNFCCC biennial update reporting guidelines for Parties not included in Annex I to

the Convention

Recalling the relevant provisions of the Convention, in particular Article 4,

paragraphs 1, 3 and 7, Article 5, Article 7, paragraph 2(a), (b), (d) and (e), Article 9,

paragraph 2(b), Article 10, paragraph 2(a) and (c), and Article 12, paragraphs 1, 5, 6 and 7,

FCCC/CP/2011/9/Add.1

Also recalling decisions on national communications from non-Annex I Parties in

particular decisions 10/CP.2, 2/CP.4, 12/CP.4, 8/CP.5, 31/CP.7, 32/CP.7, 17/CP.8 and

8/CP.11,

Further recalling that, by decision 1/CP.16, paragraph 60, the Conference of the

Parties decided to enhance the reporting in national communications, including inventories

from non-Annex I Parties, on mitigation actions and their effects, and support received,

with additional flexibility to be given to the least developed country Parties and small

island developing States,

Recalling that the Conference of the Parties, through decision 1/CP.16, paragraph

60(c), decided that developing country Parties, consistent with their capabilities and the

level of support provided for reporting, should submit biennial update reports containing

updates of national greenhouse gas inventories, including a national inventory report and

information on mitigation actions, needs and support received,

Recognizing the difficulties faced by non-Annex I Parties in reporting under the

Convention and the need to take into account national capabilities and circumstances, and

to build capacity, and the need for the provision of financial support in a timely manner to

non-Annex I Parties to facilitate the timely preparation of biennial update reports,

Urging Annex II Parties and other developed country Parties in a position to do so to

provide support for the preparation of biennial update reports,

Recognizing that the Consultative Group of Experts on National Communications

from Parties not included in Annex I to the Convention could also play an important role in

facilitating technical advice and support for the preparation and submission of the first

biennial update report,

Also recognizing that, by decision 1/CP.16, the Conference of the Parties agreed on

a work programme for developing the guidelines for the preparation of biennial update

reports from non-Annex I Parties, as a part of their national communications,

39. Adopts the guidelines, contained in annex III, for the preparation of biennial update

reports by non-Annex I Parties (hereinafter referred to as the Guidelines);

40. Affirms that the Guidelines shall respect the diversity of mitigation actions and

provide flexibility for non-Annex I Parties to report information, while providing an

understanding of actions taken;

41. Decides:

(a) That non-Annex I Parties, consistent with their capabilities and the level of

support provided for reporting, should submit their first biennial update report by

December 2014; the least developed country Parties and small island developing States

may submit biennial update reports at their discretion;

(b) That in using the Guidelines, non-Annex I Parties should take into account

their development priorities, objectives, capacities and national circumstances;

operating entity of the financial mechanism for funding the preparation of biennial update

reports from non-Annex I Parties and, in the case of the first biennial update report, to the

Global Environment Facility;

(d) To urge non-Annex I Parties to submit their requests to the Global

Environment Facility for support, in a timely manner;

(e) That enhanced support for the preparation of biennial update reports should

be ensured by developed country Parties and other developed Parties included in Annex II

FCCC/CP/2011/9/Add.1

to the Convention by means of resources, in accordance with Article 4, paragraph 3, of the

Convention, on the basis of agreed full-cost funding;

(f) That non-Annex I Parties shall submit a biennial update report every two

years, either as a summary of parts of their national communication in the year in which the

national communication is submitted or as a stand-alone update report; the least developed

country Parties and small island developing States may submit biennial update reports at

their discretion;

(g) That the first biennial update report submitted by non-Annex I Parties shall

cover, at a minimum, the inventory for the calendar year no more than four years prior to

the date of the submission, or more recent years if information is available, and that

subsequent biennial update reports shall cover a calendar year that does not precede the

submission date by more than four years;

42. Also decides that these guidelines should be reviewed and revised as appropriate, in

accordance with decisions of the Conference of the Parties;

43. Requests the secretariat to facilitate assistance to non-Annex I Parties, on request, in

the preparation of their biennial update reports, in accordance with Article 8, paragraph

2(c), of the Convention;

44. Urges and requests the Global Environment Facility to make available support to

non-Annex I Parties preparing their first biennial update reports as early as possible in 2012

and on the basis of agreed full-cost funding;

Registry

Recalling decision 1/CP.13,

Also recalling decision 1/CP.16, paragraphs 53–59, by which the Conference of the

Parties decided to set up a registry to record the nationally appropriate mitigation actions

seeking international support, to facilitate the matching of financial, technology and

capacity-building support for these actions, and to recognize nationally appropriate

mitigation actions of developing country Parties in a separate section of the registry,

Further recalling the same decision, by which the Conference of the Parties agreed

to develop modalities for the facilitation of support through the registry, including any

functional relationship with the financial mechanism,

Recognizing the need for support for enabling activities to assist developing country

Parties in the identification and preparation of nationally appropriate mitigation actions for

submission to the registry, and support for their implementation,

45. Decides that:

(a) The registry should be developed as a dynamic, web-based platform managed

by a dedicated team in the secretariat;

(b) Participation in the registry shall be voluntary and only information

submitted expressly for inclusion in the registry should be recorded;

full range of the diversity of nationally appropriate mitigation actions, and a range of types

of support;

46. Invites developing country Parties to submit, as appropriate, to the secretariat the

following information on individual nationally appropriate mitigation actions seeking

international support:

FCCC/CP/2011/9/Add.1

(a) A description of the mitigation action and the national implementing entity,

including contact information;

(b) The expected time frame for the implementation of the mitigation action;

(d) The estimated full cost and/or incremental cost of the implementation of the

mitigation action;

(e) The amount and type of support (financial, technology and capacity-building)

required to prepare and/or implement the mitigation action;

(f) The estimated emission reductions;

(g) Other indicators of implementation;

(h) Other relevant information, including the co-benefits for local sustainable

development, if information thereon exists;

47. Also invites developing country Parties to submit to the secretariat information on

other individual nationally appropriate mitigation actions, to be recorded in a separate

section of the registry, for their recognition;

48. Further invites developed country Parties, the entity or entities entrusted with the

operation of the financial mechanism, including the Global Environment Facility and the

Green Climate Fund, multilateral, bilateral and other public donors, and private and non-

governmental organizations that are in position to do so, to submit to the secretariat, as

appropriate, the following information on financial, technology and capacity-building

support available and/or provided for the preparation and/or implementation of nationally

appropriate mitigation actions:

(a) Whether the support available is for the preparation and/or implementation of

nationally appropriate mitigation actions;

(b) The source of the support, including, where applicable, the name of the

developed country Parties in question and the executing entity channelling the support,

including contact information;

grant or facilitated loan), technology and/or capacity-building support;

(d) The status of delivery;

(e) The types of action that may be supported and the process for the provision

of support;

49. Invites Parties and entities referred to in paragraphs 46 and 48 above to provide the

secretariat, subsequent to the matching of action with support, information on both

internationally supported mitigation actions and associated support;

50. Requests the secretariat, pursuant to decision 1/CP.16, paragraphs 53–59, to record

and regularly update, in separate sections of the registry, information provided in

accordance with paragraphs 46–49 above;

51. Decides that the registry will facilitate the matching of actions seeking international

support with support available by providing and directing information to Parties that

submitted information on nationally appropriate mitigation actions seeking support, and

Parties and entities that have submitted information on the support available;

52. Requests the secretariat, subject to the availability of resources:

FCCC/CP/2011/9/Add.1

(a) To provide assistance to developing country Parties requesting information

on the available sources of support in the registry;

(b) To provide information on the operation of the registry to the Conference of

the Parties annually, in order to inform the discussions on the financial mechanism;

53. Notes that the financial mechanism may make use of information available in the

registry when considering the provision of support for the preparation and implementation

of individual nationally appropriate mitigation actions which are seeking support;

54. Requests the secretariat to develop a prototype of the registry by the thirty-sixth

session of the Subsidiary Body for Implementation in order to present the prototype to

Parties for their consideration;

55. Also requests the secretariat, if applicable, to improve the design of the prototype

based on the views expressed by Parties at the thirty-sixth session of the Subsidiary Body

for Implementation, in order to enable Parties to start using the prototype of the registry as

soon as possible and within two months thereafter, with a view to finalizing the registry

through a decision at the eighteenth session of the Conference of the Parties, taking into

account the lessons learned from the initial experience gained;

Modalities and guidelines for international consultation and analysis

Recalling, in particular, Article 4, paragraphs 1, 3, and 7, Article 10, paragraph 2(a),

and Article 12, paragraphs 1, 5 and 7, of the Convention,

Also recalling decisions on communications from non-Annex I Parties and, in

particular, decisions 10/CP.2, 12/CP.4, 8/CP.5, 31/CP.7, 32/CP.7, 17/CP.8 and 8/CP.11,

Noting decision 1/CP.16, by which a process of international consultation and

analysis of biennial update reports will be conducted under the Subsidiary Body for

Implementation, aiming to increase the transparency of mitigation actions and their effects,

Also noting decision 1/CP.16, paragraph 60(c), by which developing country Parties,

consistent with their capabilities and the level of support provided for reporting, should also

submit biennial update reports containing updates of national greenhouse gas inventories,

including a national inventory report and information on mitigation actions, needs and

support received,

Recognizing that the guidelines for international measurement, reporting and

verification referred to in decision 1/CP.16, paragraph 61, correspond to the guidelines

determined for the international consultation and analysis of nationally appropriate

mitigation actions of developing country Parties,

Also recognizing the need to have an efficient, cost-effective and practical

international consultation and analysis process, which does not impose an excessive burden

on Parties, and on the secretariat,

Noting that international consultation and analysis is non-intrusive, non-punitive,

and respectful of national sovereignty,

56. Adopts the modalities and guidelines for international consultation and analysis as

contained in annex IV;

57. Recognizes that the extent to which developing country Parties will effectively

implement their commitments under the Convention will depend on the effective

implementation by developed country Parties of their commitments under the Convention

related to financial resources and transfer of technology;

58. Decides:

FCCC/CP/2011/9/Add.1

(a) That the first rounds of international consultation and analysis will be

conducted for developing country Parties, commencing within six months of the

submission of the first round of biennial update reports by developing country Parties;

(b) That the frequency of participation in subsequent rounds of international

consultation and analysis by developing country Parties, based on their respective

capabilities and national circumstances, and special flexibility for small island developing

States and the least developed country Parties, will be determined by the frequency of the

submission of biennial update reports;

experiences gained in the first round of international consultation and analysis, no later than

2017;

(d) That small island developing States and the least developed country Parties

may undergo international consultation and analysis as a group of Parties at their discretion;

59. Urges developed country Parties and other developed Parties included in Annex II to

the Convention to provide new and additional financial resources at the agreed full cost in

accordance with Article 4, paragraph 3, of the Convention with a view to supporting any

reporting needed for international consultations and analysis;

60. Aims to facilitate the universal participation of developing country Parties in the

international consultation and analysis process;

61. Invites Parties to submit to the secretariat, by 5 March 2012, their views on the

composition, modalities and procedures of the team of technical experts referred to in

annex IV, paragraph 1;

62. Requests the secretariat to compile these submissions into a miscellaneous document

for consideration by the Subsidiary Body for Implementation at its thirty-sixth session, with

a view to adopting a decision on the matter referred to in paragraph 61 above at the

eighteenth session of the Conference of the Parties;

C. Policy approaches and positive incentives on issues relating to reducing

emissions from deforestation and forest degradation in developing

countries; and the role of conservation, sustainable management of

forests and enhancement of forest carbon stocks in developing countries

Recalling the principles and provisions set forth in decision 1/CP.16 and its

appendices I and II on policy approaches and positive incentives on issues relating to

reducing emissions from deforestation and forest degradation in developing countries and

the role of conservation, sustainable management of forests and enhancement of forest

carbon stocks in developing countries,

Also recalling decisions 1/CP.13, 2/CP.13, 4/CP.15 and 12/CP.17,

Further recalling decision 1/CP.16, paragraphs 68–74 and 76–78,

Reaffirming that, in the context of the provision of adequate and predictable support

to developing country Parties, Parties should collectively aim to slow, halt and reverse

forest cover and carbon loss, in accordance with national circumstances, consistent with the

ultimate objective of the Convention, as stated in its Article 2,

Also reaffirming decision 1/CP.16, appendix I, paragraph 1,

Affirming that efforts are already being made and actions being taken to reduce

emissions from deforestation and forest degradation, and to maintain and enhance forest

carbon stocks in developing countries,

FCCC/CP/2011/9/Add.1

Recognizing the importance of effective and continuing support for the activities

referred to in decision 1/CP.16, paragraphs 73 and 76,

Also recognizing that policy approaches and positive incentives for mitigation

actions in the forest sector, as referred to in decision 1/CP.16, paragraph 70, can promote

poverty alleviation and biodiversity benefits, ecosystem resilience and the linkages between

adaptation and mitigation, and should promote and support the safeguards referred to in

decision 1/CP.16, appendix 1, paragraph 2(c–e),

Being aware of the relevance of the work being undertaken by relevant international

conventions and agreements,

63. Agrees that, regardless of the source or type of financing, the activities referred to in

decision 1/CP.16, paragraph 70, should be consistent with the relevant provisions included

in decision 1/CP.16, including the safeguards in its appendix I, in accordance with relevant

decisions of the Conference of the Parties;

64. Recalls that for developing country Parties undertaking the results-based actions

referred to in decision 1/CP.16, paragraphs 73 and 77, to obtain and receive results-based

finance, these actions should be fully measured, reported and verified,

and developing

country Parties should have the elements referred to in decision 1/CP.16, paragraph 71, in

accordance with any decisions taken by the Conference of the Parties on this matter;

65. Agrees that results-based finance provided to developing country Parties that is new,

additional and predictable may come from a wide variety of sources, public and private,

bilateral and multilateral, including alternative sources;

66. Considers that, in the light of the experience gained from current and future

demonstration activities, appropriate market-based approaches could be developed by the

Conference of the Parties to support the results-based actions by developing country Parties

referred to in decision 1/CP.16, paragraph 73, ensuring that environmental integrity is

preserved, that the provisions of decision 1/CP.16, appendices I and II, are fully respected,

and should be consistent with the relevant provisions of decisions 1/CP.16 and 12/CP.17

and any future decision by the Conference of the Parties on these matters;

67. Notes that non-market-based approaches, such as joint mitigation and adaptation

approaches for the integral and sustainable management of forests as a non-market

alternative that supports and strengthens governance, the application of safeguards as

referred to in decision 1/CP.16, appendix I, paragraph 2(c–e), and the multiple functions of

forests, could be developed;

68. Encourages the operating entities of the financial mechanism of the Convention to

provide results-based finance for the actions referred to in decision 1/CP.16, paragraph 73;

69. Invites Parties and admitted observer organizations to submit to the secretariat, by 5

March 2012, their views on modalities and procedures for financing results-based actions

and considering activities related to decision 1/CP.16, paragraphs 68–70 and 72;

70. Requests the secretariat to compile the submissions by Parties into a miscellaneous

document for consideration by the Ad Hoc Working Group on Long-term Cooperative

Action under the Convention at its session to be held in conjunction with the thirty-sixth

session of the Subsidiary Body for Scientific and Technological Advice;

71. Also requests the secretariat to prepare, subject to the availability of supplementary

resources, a technical paper, based on submissions by Parties and admitted observer

In accordance with decision 1/CP.16, appendix II.

As agreed by the Conference of the Parties.

FCCC/CP/2011/9/Add.1

organizations on the issues referred to in paragraphs 69 and 70 above, as an input for the

workshop referred to in paragraph 72 below;

72. Further requests the secretariat to organize, subject to the availability of

supplementary resources, a workshop taking into account the submissions by Parties and

admitted observer organizations referred to in paragraph 69 above, the technical paper

referred to in paragraph 71 above, and the conclusions on this matter by the Ad Hoc

Working Group on Long-term Cooperative Action under the Convention at its session to be

held in conjunction with the thirty-sixth session of the Subsidiary Body for Scientific and

Technological Advice, before the session of the Ad Hoc Working Group on Long-term

Cooperative Action under the Convention to be held in conjunction with the eighteenth

session of the Conference of the Parties;

73. Requests the Ad Hoc Working Group on Long-term Cooperative Action under the

Convention to consider the submissions by Parties and admitted observer organizations

referred to in paragraph 69 above, the technical paper referred to in paragraph 71 above and

the report on the outcomes of the workshop referred to in paragraph 72 above with the aim

of reporting on progress made and any recommendations to the Conference of the Parties at

its eighteenth session.

D. Cooperative sectoral approaches and sector-specific actions, in order to

enhance the implementation of Article 4, paragraph 1(c), of the

Convention

General framework

74. Agrees to continue its consideration of a general framework for cooperative sectoral

approaches and sector-specific actions with a view to adopting a decision on this matter at

its eighteenth session, as appropriate;

Agriculture

75. Requests the Subsidiary Body for Scientific and Technological Advice to consider

issues related to agriculture at its thirty-sixth session, with the aim of exchanging views and

the Conference of the Parties adopting a decision on this matter at its eighteenth session;

76. Invites Parties and admitted observer organizations to submit to the secretariat, by 5

March 2012, their views on the issues referred to in paragraph 75 above;

77. Requests the secretariat to compile the submissions referred to in paragraph 76

above by Parties into a miscellaneous document for consideration by the Subsidiary Body

for Scientific and Technological Advice at its thirty-sixth session;

International aviation and maritime transport

78. Agrees to continue its consideration of issues related to addressing emissions from

international aviation and maritime transport;

E. Various approaches, including opportunities for using markets, to

enhance the cost-effectiveness of, and to promote, mitigation actions,

bearing in mind different circumstances of developed and developing

countries

Recalling decisions 1/CP.13 and 1/CP.16,

FCCC/CP/2011/9/Add.1

Also recalling Article 1, paragraph 1, Article 3, paragraph 1, and Article 4,

paragraphs 1, 2(a), 3, 7, 8 and 10, of the Convention,

Affirming the need to maintain consistency with the principles and commitments of

the Convention, particularly that Parties should protect the climate system in accordance

with their common but differentiated responsibilities and respective capabilities,

Undertaking to maintain and build upon the existing flexibility mechanisms

established under the Kyoto Protocol,

Recognizing the role of public sources of finance in the implementation of

mitigation activities,

Acknowledging the role of various approaches, including opportunities for using

markets, to enhance the cost-effectiveness of, and to promote, mitigation actions, bearing in

mind different circumstances of developed and developing countries,

Noting that Parties may, individually or jointly, develop and implement such

approaches in accordance with their national circumstances,

79. Emphasizes that various approaches, including opportunities for using markets, to

enhance the cost-effectiveness of, and to promote, mitigation actions, bearing in mind

different circumstances of developed and developing countries, must meet standards that

deliver real, permanent, additional and verified mitigation outcomes, avoid double counting

of effort, and achieve a net decrease and/or avoidance of greenhouse gas emissions;

80. Requests the Ad Hoc Working Group on Long-term Cooperative Action under the

Convention to conduct a work programme to consider a framework for such approaches,

with a view to recommending a decision to the Conference of the Parties at its eighteenth

session;

81. Invites Parties and admitted observer organizations to submit to the secretariat, by 5

March 2012, their views on the matters referred to in paragraphs 79 and 80 above,

including their experiences, positive and negative, with existing approaches and

mechanisms as well as lessons learned;

82. Requests the Ad Hoc Working Group on Long-term Cooperative Action under the

Convention to conduct one or more workshops with Parties, experts and other stakeholders,

including an in-session workshop at its session to be held in conjunction with the thirty-

sixth sessions of the subsidiary bodies, to consider the submissions referred to in paragraph

81 above and to discuss the matters referred to in paragraphs 79 and 80 above;

83. Defines a new market-based mechanism, operating under the guidance and authority

of the Conference of the Parties, to enhance the cost-effectiveness of, and to promote,

mitigation actions, bearing in mind different circumstances of developed and developing

countries, which is guided by decision 1/CP.16, paragraph 80, and which, subject to

conditions to be elaborated, may assist developed countries to meet part of their mitigation

targets or commitments under the Convention;

84. Requests the Ad Hoc Working Group on Long-term Cooperative Action under the

Convention to conduct a work programme to elaborate modalities and procedures for the

mechanism referred to in paragraph 83 above, with a view to recommending a decision to

the Conference of the Parties at its eighteenth session;

85. Invites Parties and admitted observer organizations to submit to the secretariat, by 5

March 2012, their views on the matters referred to in paragraphs 83 and 84 above,

including their experiences, positive and negative, with existing approaches and

mechanisms as well as lessons learned;

FCCC/CP/2011/9/Add.1

86. Requests the Ad Hoc Working Group on Long-term Cooperative Action under the

Convention to conduct one or more workshops with Parties, experts and other stakeholders,

including an in-session workshop at its session to be held in conjunction with the thirty-

sixth sessions of the subsidiary bodies, to consider the submissions referred to in paragraph

85 above and to discuss the matters referred to in paragraphs 83 and 84 above;

F. Economic and social consequences of response measures

Recalling the ultimate objective of the Convention,

Also recalling and reaffirming decisions 1/CP.13 and 1/CP.16,

Also reaffirming the importance of the objective of the Convention, and the relevant

principles and provisions of the Convention related to the economic and social

consequences of response measures, in particular its Articles 2, 3 and 4,

Affirming that there is a need to give full consideration to what actions are

necessary, including actions related to funding, insurance and the transfer of technology, to

meet the specific needs and concerns of developing country Parties arising from the impact

of the implementation of response measures,

Acknowledging that response measures to combat climate change may have

negative environmental, social and economic consequences, and that all developing

countries face economic and social consequences of response measures to climate change,

Reaffirming the principle of sovereignty of States in international cooperation to

address climate change,

Noting that policies and measures to address climate change should be supportive of

the economic and social development of developing country Parties,

Reaffirming that developed country Parties should take the lead in combating

climate change and the adverse effects thereof,

Also reaffirming that developed country Parties are urged to strive to implement

policies and measures to respond to climate change in such a way as to avoid negative

social and economic consequences for developing country Parties, taking into account

Article 3 of the Convention, and to assist these Parties to address such consequences by

providing support, including financial resources, transfer of technology and capacity-

building, in accordance with Article 4 of the Convention, to build up the resilience of

societies and economies negatively affected by response measures,

87. Recognizes that social and economic development and poverty eradication are the

first and overriding priorities of developing countries;

88. Urges Parties in implementing their policies and measures to promote a just

transition of the workforce and the creation of decent work and quality jobs in accordance

with nationally defined development priorities and strategies;

89. Also urges developed country Parties to assist developing country Parties to promote

economic diversification in the context of sustainable development, especially for those

listed in Article 4, paragraphs 8 and 9, of the Convention;

90. Further urges Parties to give full consideration to the positive and negative impacts

of the implementation of response measures to mitigate climate change on society and on

all vulnerable groups, in particular women and children;

FCCC/CP/2011/9/Add.1

91. Recognizes decision 8/CP.17 that establishes the Forum to Implement the Work

Programme on the Impact of the Implementation of Response Measures, and consolidates

all progressive discussions related to response measures under the Convention.

III. Enhanced action on adaptation

Recalling the relevant provisions of the Convention,

Also recalling decision 1/CP.16, which established the Cancun Adaptation

Framework and the Adaptation Committee,

92. Affirms that the Adaptation Committee shall be the overall advisory body to the

Conference of the Parties on adaptation to the adverse effects of climate change;

93. Also affirms that the Adaptation Committee was established to promote the

implementation of enhanced action on adaptation in a coherent manner under the

Convention, as provided for by the Cancun Adaptation Framework, inter alia through the

following functions:

(a) Providing technical support and guidance to the Parties, respecting the

country-driven approach, with a view to facilitating the implementation of adaptation

activities, including those listed in decision 1/CP.16, paragraphs 14 and 15, where

appropriate;

(b) Strengthening, consolidating and enhancing the sharing of relevant

information, knowledge, experience and good practices, at the local, national, regional and

international levels, taking into account, as appropriate, traditional knowledge and

practices;

international organizations, centres and networks, in order to enhance the implementation

of adaptation actions, in particular in developing country Parties;

(d) Providing information and recommendations, drawing on adaptation good

practices, for consideration by the Conference of the Parties when providing guidance on

means to incentivize the implementation of adaptation actions, including finance,

technology and capacity-building, and other ways to enable climate-resilient development

and reduce vulnerability, including to the operating entities of the financial mechanism of

the Convention, as appropriate;

(e) Considering information communicated by Parties on their monitoring and

review of adaptation actions, support provided and received, possible needs and gaps and

other relevant information, including information communicated under the Convention,

with a view to recommending what further actions may be required, as appropriate;

94. Decides that the Adaptation Committee should make use of the following modalities

in exercising its functions:

(a) Workshops and meetings;

(b) Expert groups;

experience and good practice;

(d) Channels for sharing information, knowledge and expertise;

(e) Coordination and linkages with all relevant bodies, programmes, institutions

and networks, within and outside the Convention;

FCCC/CP/2011/9/Add.1

95. Also decides that the Adaptation Committee shall operate under the authority of, and

be accountable to, the Conference of the Parties, which should decide on its policies in line

with relevant decisions;

96. Requests the Adaptation Committee to report annually to the Conference of the

Parties, through the subsidiary bodies, including on its activities, the performance of its

functions, guidance, recommendations and other relevant information arising from its work,

and, as appropriate, on further action that may be required under the Convention, for

consideration by the Conference of the Parties;

97. Also requests the Adaptation Committee during its first year to develop a three-year

plan for its work, which should include milestones, activities, deliverables and resource

requirements, in accordance with its agreed functions, employing the modalities listed in

paragraph 94 above, considering the indicative list of activities included in annex V, for

approval by the Conference of the Parties at its eighteenth session;

98. Further requests the Adaptation Committee, in addition to developing its workplan,

to initiate some of the activities contained in annex V during its first year;

99. Requests the Adaptation Committee to engage and develop linkages through the

Conference of the Parties with all adaptation-related work programmes, bodies and

institutions under the Convention, including the Least Developed Countries Expert Group,

the Consultative Group of Experts on National Communications from Parties not included

in Annex I to the Convention, the Technology Executive Committee, the Nairobi work

programme on impacts, vulnerability and adaptation to climate change, the work

programme on loss and damage and the operating entities of the financial mechanism of the

Convention, as appropriate;

100. Also requests the Adaptation Committee to engage with, and draw on the expertise

of, relevant institutions, organizations, frameworks, networks and centres outside of the

Convention, including those at the intergovernmental, regional, national and, through them,

subnational levels, where appropriate;

101. Decides that the Adaptation Committee shall comprise 16 members, who shall serve

in their personal capacity, and will be nominated by Parties in their respective groups or

constituencies and elected by the Conference of the Parties, with the aim of achieving a fair,

equitable and balanced representation as follows:

(a) Two members from each of the five United Nations regional groups;

(b) One member from a small island developing State;

(d) Two members from Annex I Parties;

(e) Two members from non-Annex I Parties;

102. Urges regional groups in making their nominations to consider the special needs and

concerns of particularly vulnerable developing countries;

103. Encourages Parties to nominate experts to the Adaptation Committee with a

diversity of experience and knowledge relevant to adaptation to climate change, while also

taking into account the need to achieve gender balance in accordance with decision

36/CP.7;

104. Agrees that the chairs of the Least Developed Countries Expert Group, the

Technology Executive Committee and the Consultative Group of Experts on National

Communications from Parties not included in Annex I to the Convention could be invited

to attend meetings of the Adaptation Committee, as appropriate;

FCCC/CP/2011/9/Add.1

105. Also agrees that the Adaptation Committee should seek input from

intergovernmental, international, regional, national and subnational organizations, centres

and networks, the private sector and civil society, in undertaking its work, and to invite

advisers drawn from them to participate in its meetings as expert advisers on specific issues

as they arise;

106. Decides that members shall serve for a term of two years and shall be eligible to

serve a maximum of two consecutive terms of office, and that the following rules shall

apply:

(a) Half of the members shall be elected initially for a term of three years and

half of the members shall be elected for a term of two years;

(b) Thereafter, the Conference of the Parties shall elect members for a term of

two years;

107. Also decides that if a member of the Adaptation Committee resigns or is otherwise

unable to complete the assigned term of office or to perform the functions of that office, the

Adaptation Committee may decide, bearing in mind the proximity of the next session of the

Conference of the Parties, to appoint another member from the same group or constituency

to replace said member for the remainder of that member’s mandate, in which case the

appointment shall count as one term;

108. Further decides that the Adaptation Committee shall elect annually a chair and a

vice-chair from among its members to serve for a term of one year each, with one being a

member from an Annex I Party and the other being a member from a non-Annex I Party,

and that the positions of chair and vice-chair shall alternate annually between a member

from an Annex I Party and a member from a non-Annex I Party;

109. Decides that if the chair is temporarily unable to fulfil the obligations of the office,

the vice-chair shall serve as the chair. In the absence of the chair and the vice-chair at a

particular meeting, any other member designated by the Adaptation Committee shall

temporarily serve as the chair of that meeting;

110. Also decides that if the chair or the vice-chair is unable to complete the term of

office, the Adaptation Committee shall elect a replacement to complete that term of office;

111. Further decides that decisions of the Adaptation Committee shall be taken by

consensus;

112. Decides that the Adaptation Committee shall meet at least twice a year, where

possible in conjunction with other adaptation-related UNFCCC meetings, while retaining

its flexibility to adjust the number of meetings to suit its needs;

113. Encourages the Adaptation Committee to establish subcommittees, panels, thematic

advisory groups or task-focused ad hoc working groups, if required, to provide, inter alia,

expert advice in different sectors and areas, in order to assist the Adaptation Committee in

performing its functions and achieving its objectives;

114. Decides that the meetings of the Adaptation Committee shall be open to attendance

by admitted observer organizations, except where otherwise decided by the Adaptation

Committee, with a view to encouraging a balanced representation of observers from Annex

I Parties and from non-Annex I Parties;

115. Also decides that the Adaptation Committee shall convene its first meeting soon

after the seventeenth session of the Conference of the Parties;

116. Further decides that English shall be the working language of the Adaptation

Committee;

FCCC/CP/2011/9/Add.1

117. Decides that outputs of the Adaptation Committee shall be made publicly available

on the UNFCCC website;

118. Also decides that the secretariat shall support and facilitate the work of the

Adaptation Committee, subject to the availability of resources;

119. Further decides to review the progress and performance of the Adaptation

Committee at its twenty-second session, with a view to adopting an appropriate decision on

the outcome of this review;

IV. Finance

Standing Committee

Recalling Articles 4 and 11 of the Convention,

Having established the Standing Committee under the Conference of the Parties as

provided for in decision 1/CP.16, paragraph 112,

120. Decides that the Standing Committee shall report and make recommendations to the

Conference of the Parties, for its consideration, at each ordinary session of the Conference

of the Parties on all aspects of its work;

121. Also decides that the Standing Committee shall assist the Conference of the Parties

in exercising its functions with respect to the financial mechanism of the Convention in

terms of improving coherence and coordination in the delivery of climate change financing,

rationalization of the financial mechanism, mobilization of financial resources, and

measurement, reporting and verification of the support provided to developing country

Parties through activities, such as the following:

(a) Organizing a forum for the communication and continued exchange of

information among bodies and entities dealing with climate change finance in order to

promote linkages and coherence;

(b) Maintaining linkages with the Subsidiary Body for Implementation and the

thematic bodies of the Convention;

entities of the financial mechanism of the Convention, with a view to improving the

consistency and practicality of such guidance, taking into account the annual reports of the

operating entities as well as submissions from Parties;

(d) Making recommendations on how to improve the coherence, effectiveness

and efficiency of the operating entities of the financial mechanism;

(e) Providing expert input, including through independent reviews and

assessments, into the preparation and conduct of the periodic reviews of the financial

mechanism by the Conference of the Parties;

(f) Preparing a biennial assessment, overview of climate finance flows, to

include information on the geographical and thematic balance of such flows, drawing on

available sources of information, including national communications and biennial reports of

both developed and developing country Parties, information provided in the registry,

information provided by Parties on assessments of their needs, reports prepared by the

operating entities of the financial mechanism, and information available from other entities

providing climate change finance;

FCCC/CP/2011/9/Add.1

122. Further decides that the Standing Committee shall perform any other functions that

may be assigned to it by the Conference of the Parties;

123. Requests the Standing Committee to develop a work programme based on the

activities outlined in paragraph 121 above for presentation to the Conference of the Parties

at its eighteenth session;

124. Decides that the cost of meetings and the participation of members from developing

country Parties will be included in the consideration of the core budget of the secretariat;

125. Also decides to adopt the composition and working modalities of the Standing

Committee as contained in annex VI;

Long-term finance

Recalling Articles 4 and 11 of the Convention,

Also recalling decision 1/CP.13, paragraph 1(e),

Further recalling decision 1/CP.16, paragraphs 18 and 97–101,

Welcoming the fast-start finance provided by developed countries as part of their

collective commitment to provide new and additional resources approaching USD 30

billion for the period 2010–2012,

Recalling that developed country Parties commit, in the context of meaningful

mitigation actions and transparency on implementation, to a goal of mobilizing jointly USD

100 billion per year by 2020 to address the needs of developing countries,

126. Affirms the importance of continuing to provide ongoing support beyond 2012;

127. Decides to undertake a work programme on long-term finance in 2012, including

workshops, to progress on long-term finance in the context of decision 1/CP.16, paragraphs

97-101;

128. Invites the President of the Conference of the Parties to appoint two co-chairs, one

from a developing country Party and one from a developed country Party, for the work

programme mentioned in paragraph 127 above;

129. Requests the secretariat, to assist the co-chairs in supporting the workshops

mentioned in paragraph 127 above;

130. Decides that the aim of the work programme referred to in paragraph 127 above is to

contribute to the on-going efforts to scale up the mobilization of climate change finance

after 2012; the work programme will analyse options for the mobilization of resources from

a wide variety of sources, public and private, bilateral and multilateral, including alternative

sources and relevant analytical work on the climate-related financing needs of developing

countries; the analysis will draw upon relevant reports including that of the High-level

Advisory Group on Climate Financing and the report on mobilizing climate finance for the

Group of Twenty and the assessment criteria in the reports, and will also take into account

lessons learned from fast-start finance;

131. Requests the co-chairs, supported by the secretariat, to prepare a report on the

workshops referred to in paragraph 127 above for consideration by the Conference of the

Parties at its eighteenth session;

132. Notes the information provided by developed country Parties on the fast-start

finance they have provided and urges them to continue to enhance the transparency of their

reporting on the fulfilment of their fast-start finance commitments;

FCCC/CP/2011/9/Add.1

V. Technology development and transfer

Arrangements to make the Technology Mechanism fully operational in

2012

Recalling the commitments under the Convention, in particular Article 4, paragraphs

1, 3, 5, 7, 8 and 9,

Also recalling decision 1/CP.13, paragraph 1(d), to enhance action on technology

development and transfer to support action on mitigation and adaptation,

Reaffirming that the objective of enhanced action on technology development and

transfer is to support action on mitigation and adaptation in order to achieve the full

implementation of the Convention and that, in pursuit of this objective, the identification of

technology needs will be based on a country-driven approach and national circumstances

and priorities,

Underlining the importance of nationally determined technology needs, based on

national circumstances and priorities, the setting of appropriate enabling environments to

scale up the development and transfer of technologies in developing countries and the need

to accelerate action at different stages of the technology cycle,

Noting the establishment of a Technology Executive Committee, and a Climate

Technology Centre and Network in decision 1 CP/16, and their respective functions,

Recalling decision 1/CP.16, paragraph 128, on the work programme for the Ad Hoc

Working Group on Long-term Cooperative Action under the Convention on technology

development and transfer with a view to the Conference of the Parties taking a decision on,

inter alia, a call for proposals to host the Climate Technology Centre and Network and the

criteria to be used to evaluate and select a host of the Climate Technology Centre and

Network at its seventeenth session in order to make the Technology Mechanism fully

operational in 2012,

Stressing the importance of making its two components, the Technology Executive

Committee and the Climate Technology Centre and Network, fully operational as soon as

possible in 2012 in order to promote and enhance the research, development, deployment

and diffusion of environmentally sound technologies in support of action on mitigation and

adaptation in developing countries, in order to achieve the ultimate objective of the

Convention,

Recalling that the Climate Technology Centre and Network and the Technology

Executive Committee shall relate so as to promote coherence and synergy,

Reaffirming that both components of the Technology Mechanism shall facilitate the

implementation of the objective set out in decision 1/CP.16, paragraph 113, in line with

their respective functions agreed in decision 1/CP.16 and consistent with the mandate of the

Technology Executive Committee in decision 1/CP.16, appendix IV, and the terms of

reference of the Climate Technology Centre and Network contained in annex VII,

Recalling the need to further pursue the implementation of the Technology

Mechanism and its two components with a view to making the Technology Mechanism

fully operational as early as possible in 2012,

133. Adopts the terms of reference of the Climate Technology Centre and Network as

contained in annex VII;

134. Decides that the Climate Technology Centre and Network shall begin its activities

with an achievable scope of work so as to meet the needs of developing countries and be

FCCC/CP/2011/9/Add.1

flexible so that it can learn, adapt and adjust its scope and reach over time in response to the

technology needs of developing countries and the demands of the emerging international

climate change regime;

135. Requests the Climate Technology Centre and Network, once it is operational, to

elaborate its modalities and procedures based on the terms of reference of the Climate

Technology Centre and Network contained in annex VII and decision 1/CP.16, paragraph

123, and taking into account decision 1/CP.16, paragraph 120, and to report to the

Conference of the Parties, through the subsidiary bodies at their thirty-eighth sessions, with

a view to making a decision on this matter at the nineteenth session of the Conference of

the Parties, including, inter alia, consideration of the following roles of the Climate

Technology Centre and Network:

(a) Identifying currently available climate-friendly technologies for mitigation

and adaptation that meet their key low-carbon and climate-resilient development needs;

(b) Facilitating the preparation of project proposals for the deployment,

utilization and financing of existing technologies for mitigation and adaptation;

technologies to meet local needs and circumstances;

(d) Facilitating research, development and demonstration of new climate-friendly

technologies for mitigation and adaptation, which are required to meet the key objectives of

sustainable development;

(e) Enhancing national and regional human and institutional capacity to manage

the technology cycle, and to support the challenges for activities listed in paragraphs 135

(a–d) above;

(f) Helping to facilitate the financing of the activities listed in paragraphs 135

(a–e) above, through various sources in accordance with paragraph 139 below;

136. Decides that the selection process for the host of the Climate Technology Centre

shall be launched upon the conclusion of the seventeenth session of the Conference of the

Parties and shall be conducted in an open, transparent, fair and neutral manner in

accordance with the process outlined in this decision, and informed by United Nations

practices, in order to make the Technology Mechanism become fully operational in 2012;

137. Requests the secretariat:

(a) To prepare and issue the call for proposals in accordance with this decision

by 16 January 2012, including the preparation of the sample requests as referred to in annex

VIII, paragraph 8(c), and invite interested organizations, including consortia of

organizations, to submit their proposals in response to the call for proposals by 16 March

2012;

(b) To provide responses to inquiries from interested organizations in

consultation with the evaluation panel referred to in paragraph 137(d) below, as

appropriate;

and make them available simultaneously on the UNFCCC website;

(d) To convene an evaluation panel, consisting of three members from Annex I

Parties and three from non-Annex I Parties as nominated by the Technology Executive

Committee from within its membership, by the end of February 2012:

(i) To conduct an assessment of the proposals received based on the

methodology described in the criteria to be used to evaluate and select the host of

the Climate Technology Centre contained in annex VIII, paragraph 9;

FCCC/CP/2011/9/Add.1

(ii) To prepare an evaluation report with a shortlist ranking up to five proponents,

including information on how the criteria for the evaluation have been applied, and

make it available for consideration by the Subsidiary Body for Implementation at its

thirty-sixth session;

(e) To discuss the key elements of the potential host agreement with the top-

ranked proponent, and, if needed, with the second-ranked and third-ranked proponents as

agreed by the Subsidiary Body for Implementation at its thirty-sixth session and referred to

in paragraph 138(a) below;

(f) To report the outcome of its discussion on the key elements of the potential

host agreement to the Subsidiary Body for Implementation at its thirty-seventh session for

its consideration, with a view to recommending it for consideration and approval by the

Conference of the Parties at its eighteenth session;

138. Requests the Subsidiary Body for Implementation:

(a) To agree on, at its thirty-sixth session, a ranked list of up to three proponents

based on the outcome of the assessment conducted by the evaluation panel referred to in

paragraph 137(d)(i) above;

(b) To recommend the host of the Climate Technology Centre and Network to

the Conference of the Parties for approval at its eighteenth session;

referred to in annex VII, paragraph 7, with a view to making a recommendation to the

Conference of the Parties for consideration and adoption at its eighteenth session;

139. Decides that the costs associated with the Climate Technology Centre and the

mobilization of the services of the Network should be funded from various sources,

including the financial mechanism of the Convention, bilateral, multilateral and private-

sector channels, philanthropic sources as well as financial and in-kind contributions from

the host organization and participants in the Network;

140. Requests the Global Environment Facility to support the operationalization and

activities of the Climate Technology Centre and Network without prejudging any selection

of the host;

141. Invites Parties in a position to do so to support the Climate Technology Centre and

Network through the provision of financial and other resources;

142. Requests the Technology Executive Committee and the Climate Technology Centre

to establish procedures for preparing a joint annual report;

143. Also requests the secretariat to make available the joint annual report referred to in

paragraph 142 above for consideration by the Conference of the Parties through its

subsidiary bodies;

VI. Capacity-building

Recalling decisions 2/CP.7, 2/CP.10, 4/CP.12 and 1/CP.16,

Also recalling decision 1/CP.16, paragraphs 136 and 137, which request the

consideration of ways to further enhance the monitoring and review of the effectiveness of

capacity-building, and to further elaborate the modalities regarding institutional

arrangements for capacity-building, for consideration by the Conference of the Parties at its

seventeenth session,

FCCC/CP/2011/9/Add.1

Reaffirming that capacity-building is essential in enabling developing country

Parties to participate fully in addressing the challenges of climate change, and to implement

effectively their commitments under the Convention,

Also reaffirming that capacity-building should be a continuous, progressive and

iterative process that is participatory, country-driven and consistent with national priorities

and circumstances,

Further reaffirming the importance of taking into account gender aspects and

acknowledging the role and needs of youth and persons with disabilities in capacity-

building activities,

Acknowledging that capacity-building is cross-cutting in nature and an integral part

of enhanced action on mitigation, adaptation, technology development and transfer, and

access to financial resources,

Noting with appreciation the progress made across the bodies established under the

Convention and the operating entities of the financial mechanism, including those agreed to

in decision 1/CP.16, in integrating capacity-building into enhanced action on mitigation,

adaptation, technology development and transfer, and access to financial resources,

Also noting decision 1/CP.16, paragraph 65, which encourages Parties to develop

low-carbon development strategies or plans in the context of sustainable development,

welcoming those Parties that have already begun the process of developing these strategies,

and noting the important capacity-building outcomes that this process and related

partnerships can provide,

Further noting that, while progress has been made, gaps still remain in addressing

the priority issues identified in the framework for capacity-building in developing countries

as contained in decision 2/CP.7,

144. Requests the Subsidiary Body for Implementation to further enhance the monitoring

and review of the effectiveness of capacity-building by organizing an annual in-session

Durban Forum for in-depth discussion on capacity-building with the participation of

Parties, representatives of the relevant bodies established under the Convention, and

relevant experts and practitioners, with a view to sharing their experiences and exchanging

ideas, best practices and lessons learned regarding the implementation of capacity-building

activities;

145. Decides that the Durban Forum should include as inputs, inter alia, any capacity-

building elements contained in the reports prepared since the most recent session of the

Durban Forum by the relevant bodies established under the Convention;

146. Requests the secretariat to compile and synthesize the reports prepared since the

most recent session of the Durban Forum by the relevant bodies established under the

Convention;

147. Also requests the secretariat to prepare a summary report on the Durban Forum for

consideration by the Subsidiary Body for Implementation;

148. Encourages Parties to continue to provide information through the appropriate

channels, including national communications, on the progress made in enhancing the

capacity to address climate change;

149. Invites developing country Parties to report on progress made and measures taken in

implementing and improving their enabling environments to build national capacity for

mitigation and adaptation, and to include the needs relevant to enhancing the progress made

on such measures in their communications on capacity-building priorities;

FCCC/CP/2011/9/Add.1

150. Requests the secretariat to continue to compile and synthesize the information

provided by Annex I Parties and to summarize the information provided by non-Annex I

Parties in their national communications and submissions, and to compile and synthesize

information on capacity-building activities, including lessons learned, provided by the

relevant bodies established under the Convention and by international and regional

organizations;

151. Also requests the Subsidiary Body for Implementation, in its consideration of the

third and subsequent comprehensive reviews of the implementation of the framework for

capacity-building in developing countries, to include the reports of relevant bodies

established under the Convention, as well as the summary reports on the Durban Forum

referred to in paragraph 147 above, as additional inputs to these reviews;

152. Encourages the relevant bodies established under the Convention, including, inter

alia, the Consultative Group of Experts on National Communications from Parties not

included in Annex I to the Convention, the Least Developed Countries Expert Group and

the Global Environment Facility as an operating entity of the financial mechanism, to

continue to elaborate and carry out work on capacity-building in an integrated manner, as

appropriate, within their respective mandates;

153. Recognizes that there may be ways to further enhance the monitoring and review of

the effectiveness of capacity-building;

154. Decides that, in addition to the topics outlined in paragraph 144 above, the first

meeting of the Durban Forum, organized during the thirty-sixth session of the Subsidiary

Body for Implementation, shall explore potential ways to further enhance monitoring and

review of the effectiveness of capacity-building;

155. Also decides that the financial resources for enhanced action on capacity-building in

developing country Parties should be provided by Parties included in Annex II to the

Convention and other Parties in a position to do so through the current and any future

operating entities of the financial mechanism, as well as through various bilateral, regional

and other multilateral channels, as appropriate;

156. Requests that the actions of the secretariat called for in this decision be undertaken

subject to the availability of financial resources;

VII. Review: further definition of its scope and development of its

modalities

Recalling decision 1/CP.16, paragraphs 4 and 138–140,

157. Reaffirms that the review should periodically assess the adequacy of the long-term

global goal, in the light of the ultimate objective of the Convention, and the overall

progress made towards achieving it, in accordance with the relevant principles and

provisions of the Convention;

158. Confirms that the first review should start in 2013 and should be concluded by 2015,

when the Conference of the Parties shall take appropriate action based on the review;

159. Agrees that Parties will continue working on the scope of the review and considering

its further definition, with a view to taking a decision at the Conference of the Parties at its

eighteenth session;

160. Also agrees that the review should be guided by the principles of equity and

common but differentiated responsibilities and respective capabilities and should take into

account, inter alia, the following:

FCCC/CP/2011/9/Add.1

(a) The best available scientific knowledge, including the assessment reports of

the Intergovernmental Panel on Climate Change;

(b) Observed impacts of climate change;

order to achieve the ultimate objective of the Convention;

(d) Consideration of strengthening the long-term global goal, referencing various

matters presented by the science, including in relation to temperature rise of 1.5 degrees

Celsius;

161. Further agrees that the review should be based on information from various sources,

including the following:

(a) The assessment and special reports and technical papers of the

Intergovernmental Panel on Climate Change;

(b) Submissions from Parties, national communications, first biennial update

reports from developing country Parties and biennial reports from developed country

Parties, national inventories, reports on international consultation and analysis, international

analysis and review, and other relevant reports from Parties and processes under the

Convention;

organizations, including reports on emission projections, technology development, access,

transfer and deployment, and reports on gross domestic product, including projections;

(d) Scientific information on the observed impacts of climate change, including

that from reports coordinated by relevant regional and subregional agencies;

162. Decides that the review referred to in decision 1/CP.16, paragraphs 4 and 138, will

be conducted with the assistance of the Subsidiary Body for Scientific and Technological

Advice and the Subsidiary Body for Implementation, and that the work shall be supported

by expert consideration of the inputs referred to in paragraph 161 above, inter alia, through

workshops and other in-session and intersessional activities, as appropriate;

163. Agrees to further define, at its eighteenth session, the expert consideration of inputs

referred to in paragraph 162 above, including the possible establishment of a review expert

group, to provide technical support to the review;

164. Decides that the review should consist of several phases, including information

gathering and compilation, technical assessment through the organization of workshops,

technical studies and the preparation of synthesis reports;

165. Requests the subsidiary bodies to organize workshops, including for the

consideration of the information referred to in paragraph 161 above;

166. Also requests the subsidiary bodies to report on their considerations and findings to

the Conference of the Parties, which should address those considerations and provide any

further guidance, as appropriate;

167. Decides that subsequent reviews should take place following the adoption of an

assessment report of the Intergovernmental Panel on Climate Change or at least every seven

years;

FCCC/CP/2011/9/Add.1

VIII. Other matters

A. Matters related to Parties included in Annex I to the Convention

undergoing the process of transition to a market economy

Taking into account that Annex I Parties undergoing the process of transition to a

market economy are still lacking the appropriate means, knowledge and experience to

develop and perform their national low-carbon development strategies with a view to

achieving their quantified economy-wide emission reduction objectives as well as to

implement their national action plans on adaptation,

Recognizing that the Parties, in spite of the consequences of the severe socio-

economic crisis in the early 1990s, have made significant efforts through their targeted

policies and measures to fully implement their commitments under the Convention and its

Kyoto Protocol,

Acknowledging also that these Parties made their initial pledges with regard to

green–house gas emission reduction levels to be achieved in the post-2012 period in the

context of a comprehensive climate change framework,

168. Invites Annex I Parties that are in a position to do so, through multilateral agencies,

including through the Global Environment Facility within its mandate, bilateral agencies

and the private sector or through any further arrangements, as appropriate, to make

available the capacity- building, financial, technical and technology transfer assistance for

Annex I Parties undergoing the process of transition to a market economy in order to assist

these Parties in the development and implementation of their national low-carbon

development strategies and action plans consistent with their national priorities and with

their emission reduction targets;

169. Also invites multilateral and bilateral agencies to coordinate their activities in

support of the implementation of this assistance;

B. Matters related to Parties included in Annex I to the Convention whose

special circumstances are recognized by the Conference of the Parties

Recalling decision 26/CP.7 and decision 1/CP.16, which recognized that Turkey is

in a situation different from that of other Annex I Parties,

170. Agrees to continue with the discussion on modalities for the provision of support for

mitigation, adaptation, technology development and transfer, capacity-building and finance

to Parties whose special circumstances are recognized by the Conference of the Parties in

order to assist these Parties in the implementation of the Convention;

171. Requests that the actions of the secretariat called for in paragraphs 1–170 above be

undertaken subject to the availability of financial resources.

FCCC/CP/2011/9/Add.1

Annex I

UNFCCC biennial reporting guidelines for developed country Parties

I. Objectives

1. The objectives of these guidelines for preparing the biennial reports are the

following:

(a) To assist Parties included in Annex I to the Convention (Annex I Parties) in

meeting their commitments for reporting under Articles 4 and 12 of the Convention

enhanced by decision 1/CP.16;

(b) To ensure the provision of consistent, transparent, comparable, accurate and

complete information by developed country Parties;

by Annex I Parties in achieving their quantified economy-wide emission reduction targets,

projected emissions, and the provision of financial, technological and capacity-building

support to Parties not included in Annex I to the Convention (non-Annex I Parties);

(d) To facilitate the international assessment of emissions and removals related

to progress towards the achievement of the quantified economy-wide emission reduction

targets;

(e) To facilitate reporting by Annex I Parties of information on any economic

and social consequences of response measures.

II. Information on greenhouse gas emissions and trends

2. Summary information from the national greenhouse gas (GHG) inventory on

emissions and emission trends prepared according to the “Guidelines for the preparation of

national communications by Parties included in Annex I to the Convention, Part I:

UNFCCC reporting guidelines on annual inventories” (hereinafter referred to as the

UNFCCC Annex I inventory reporting guidelines) shall be prepared for the period from

1990 to the latest year in the most recent inventory submission available. The information

provided in the biennial report should be consistent with that provided in the most recent

annual inventory submission, and any differences should be fully explained.

3. Annex I Parties shall provide summary information on their national inventory

arrangements in accordance with the reporting requirements related to national inventory

arrangements contained in the UNFCCC Annex I inventory reporting guidelines, and on the

changes to these national inventory arrangements since their last national communication or

biennial report.

III. Quantified economy-wide emission reduction target

4. Each Annex I Party shall describe its quantified economy-wide emission reduction

target, including any conditions or assumptions that are relevant to the attainment of that

Decision 1/CP.16, paragraph 44.

FCCC/CP/2011/9/Add.1

target, as communicated to the secretariat and contained in document

FCCC/SB/2011/INF.1/Rev.1 or any update to that document.

5. The description of the Party’s economy-wide emission reduction target shall include

the following information, taking into consideration any relevant decisions of the

Conference of the Parties (COP):

(a) Base year;

(b) Gases and sectors covered;

adopted by the COP;

(d) Approach to counting emissions and removals from the land use, land-use

change and forestry (LULUCF) sector, taking into consideration any relevant decisions

adopted by the COP;

(e) Use of international market-based mechanisms in achieving its emission

reduction target, taking into consideration any relevant decisions adopted by the COP,

including a description of each source of international units and/or allowances from market-

based mechanisms and the possible scale of the contributions of each;

(f) Any other information, including relevant accounting rules, taking into

consideration any relevant decisions of the COP, where appropriate.

IV. Progress in achievement of quantified economy-wide

emission reduction targets and relevant information

A. Mitigation actions and their effects

6. Each Annex I Party shall provide information on its mitigation actions, including on

the policies and measures it has implemented or plans to implement since its last national

communication or biennial report to achieve its economy-wide emission reduction target.

To the extent appropriate, Parties shall organize the reporting of mitigation actions by

sector (energy, industrial processes and product use, agriculture, LULUCF, waste and other

sectors) and by gas (carbon dioxide, methane, nitrous oxide, hydrofluorocarbons,

perfluorocarbons and sulphur hexafluoride).

7. Each Annex I Party shall provide information on changes in its domestic

institutional arrangements, including institutional, legal, administrative and procedural

arrangements used for domestic compliance, monitoring, reporting, archiving of

information and evaluation of the progress towards its economy-wide emission reduction

target.

8. Each Annex I Party is encouraged to provide, to the extent possible, detailed

information on the assessment of the economic and social consequences of response

measures.

B. Estimates of emission reductions and removals and the use of units

from the market-based mechanisms and land use, land-use change and

forestry activities

9. For the base year, information reported on the emission reduction target shall

include the following:

FCCC/CP/2011/9/Add.1

(a) Total GHG emissions, excluding emissions and removals from the LULUCF

sector;

(b) Emissions and/or removals from the LULUCF sector based on the accounting

approach applied taking into consideration any relevant decisions of the COP and the

activities and/or lands that will be accounted for;

sector;

10. For each reported year, information reported on progress made towards the emission

reduction targets shall include, in addition to the information noted in paragraph 9(a–c)

above, information on the use of units from market-based mechanisms.

V. Projections

11. Each Annex I Party shall report the updated projections for 2020 and 2030

consistent with the “Guidelines for the preparation of national communications by Parties

included in Annex I to the Convention, Part II: UNFCCC reporting guidelines on national

communications” (hereinafter referred to as the UNFCCC Annex I reporting guidelines on

national communications).

12. Each Annex I Party should report on the changes since its most recent national

communication in the model or methodologies used for the preparation of projections and

should provide supporting documentation.

VI. Provision of financial, technological and capacity-building

support to developing country Parties

13. Parties included in Annex II to the Convention (Annex II Parties) shall provide

information on the provision of financial, technological and capacity-building support to

non-Annex I Parties consistent with the requirements contained in section VIII of the

UNFCCC Annex I reporting guidelines on national communications following common

reporting formats,

including information to show how this support is new and additional.

In reporting such information, Parties should distinguish, to the extent possible, between

support provided to non-Annex I Parties for mitigation and adaptation activities, noting the

capacity-building elements of such activities, where relevant. For activities with multiple

objectives, the funding could be reported as a contribution allocated partially to the other

relevant objectives.

14. Each Annex II Party shall provide a description of its national approach for tracking

of the provision of financial, technological and capacity-building support to non-Annex I

Parties, if appropriate. This description shall also include information on indicators and

delivery mechanisms used and allocation channels tracked. If this information was already

reported in the national communication, the biennial report should only report changes to

this information.

15. In reporting information in accordance with paragraphs 17 and 18 below, Annex II

Parties shall use any methodology to be developed under the Convention, taking into

account international experience. Annex II Parties shall describe the methodology used in

their biennial reports. Annex II Parties shall report in a rigorous, robust and transparent

To be developed.

FCCC/CP/2011/9/Add.1

manner the underlying assumptions and methodologies used to produce information on

finance.

A. Finance

16. Each Annex II Party shall describe, to the extent possible, how it seeks to ensure that

the resources it provides effectively address the needs of non-Annex I Parties with regard to

climate change adaptation and mitigation.

17. Each Annex II Party shall provide information on the financial support it has

provided, committed and/or pledged for the purpose of assisting non-Annex I Parties to

mitigate GHG emissions and adapt to the adverse effects of climate change and any

economic and social consequences of response measures, and for capacity-building and

technology transfer in the areas of mitigation and adaptation, where appropriate. To that

end, each Annex II Party shall provide summary information in a textual and tabular format

on allocation channels and annual contributions for the previous two calendar or financial

years without overlapping with the previous reporting periods, including, as appropriate,

the following:

(a) The Global Environment Facility, the Least Developed Countries Fund, the

Special Climate Change Fund, the Adaptation Fund, the Green Climate Fund and the Trust

Fund for Supplementary Activities;

(b) Other multilateral climate change funds;

(d) Specialized United Nations bodies;

(e) Contributions through bilateral, regional and other channels;

18. Each Annex II Party shall provide the summary information, referred to in

paragraph 17 above, for the previous two calendar or financial years in a textual and tabular

format on the annual financial support that it has provided for the purpose of assisting non-

Annex I Parties, including the following:

(a) The amount of financial resources (including the amount in original currency

and its equivalent in United States dollars/international currency);

(b) The type of support (for mitigation and adaptation activities);

(d) The financial instrument;

(e) The sector;

(f) An indication of what new and additional financial resources they have

provided pursuant to Article 4, paragraph 3, of the Convention; Parties shall clarify how

they have determined that such resources are new and additional;

19. Recognizing that the goal of mobilizing the financial resources referred to in

decision 1/CP.16, paragraph 98, includes private financial sources, Annex II Parties should

report, to the extent possible, on private financial flows leveraged by bilateral climate

finance towards mitigation and adaptation activities in non-Annex I Parties, and should

report on policies and measures that promote the scaling up of private investment in

mitigation and adaptation activities in developing country Parties.

20. Annex II Parties should specify the types of instruments used in the provision of

their assistance, such as grants and concessional loans.

FCCC/CP/2011/9/Add.1

B. Technology development and transfer

21. Each Annex II Party shall provide information on measures taken to promote,

facilitate and finance the transfer of, access to and the deployment of climate-friendly

technologies for the benefit of non-Annex I Parties, and for the support of the development

and enhancement of endogenous capacities and technologies of non-Annex I Parties.

Parties may also provide information on success and failure stories.

22. Each Annex II Party shall provide, in textual and tabular formats, information on

measures and activities related to technology transfer implemented or planned since its last

national communication or biennial report. In reporting such measures and activities,

Annex II Parties shall, to the extent possible, provide information on the recipient country,

the target area of mitigation or adaptation, the sector involved and the sources of

technology transfer from the public or private sectors, and shall distinguish between

activities undertaken by the public and private sectors.

C. Capacity-building

23. Each Annex II Party shall provide information, to the extent possible, on how it has

provided capacity-building support that responds to the existing and emerging capacity-

building needs identified by non-Annex I Parties in the areas of mitigation, adaptation, and

technology development and transfer. Information should be reported in a textual and

tabular format as a description of individual measures and activities.

VII. Other reporting matters

24. Annex I Parties are encouraged to report, to the extent possible, on the domestic

arrangements established for the process of the self-assessment of compliance with

emission reductions in comparison with emission reduction commitments or the level of

emission reduction that is required by science. Annex I Parties are encouraged to report, to

the extent possible, on the progress made in the establishment of national rules for taking

local action against domestic non-compliance with emission reduction targets.

25. Annex I Parties are encouraged to report any other information that the Party

considers relevant to the achievement of the objective of the Convention and suitable for

inclusion in its biennial report.

VIII. Reporting

26. The information identified in these guidelines shall be communicated electronically

by Annex I Parties to the secretariat and shall be in one of the official languages of the

United Nations. Parties are encouraged to submit an English translation of the biennial

report to facilitate its use in the review process.

IX. Updating of the guidelines

27. These guidelines shall be revised, as appropriate, taking into consideration any

relevant decisions of the COP.

FCCC/CP/2011/9/Add.1

Annex II

Modalities and procedures for international assessment and review

I. Objectives of the international assessment and review process

1. The overall objectives of the international assessment and review (IAR) process are

to review the progress made in achieving emission reductions and assess the provision of

financial, technological, and capacity-building support to developing country Parties, and to

assess emissions and removals related to quantified economy-wide emission reduction

targets under the Subsidiary Body for Implementation (SBI), taking into account national

circumstances, in a rigorous, robust and transparent manner, with a view to promoting

comparability and building confidence.

2. In addition, the IAR process aims at assessing the implementation of methodological

and reporting requirements.

II. Process and scope

A. Process

3. The IAR process will be conducted in the following steps:

(a) A technical review of biennial reports, where relevant in conjunction with the

annual greenhouse gas (GHG) inventories, and national communications of developed

country Parties, which will result in an individual review report for each developed country

Party;

(b) A multilateral assessment of developed country Parties’ progress in

implementation towards the achievement of emission reductions and removals related to

their quantified economy-wide emission reduction targets.

B. Scope

4. Building upon relevant elements of the existing review process under the

Convention, for each developed country Party, the following will be reviewed:

(a) All emissions and removals related to its quantified economy-wide emission

reduction target;

(b) Assumptions, conditions and methodologies related to the attainment of its

quantified economy-wide emission reduction target;

reduction target;

(d) Its provision of financial, technological and capacity-building support to

developing country Parties;

5. For each developed country Party the following elements will be multilaterally

assessed:

FCCC/CP/2011/9/Add.1

(a) All emissions and removals related to its quantified economy-wide emission

reduction target;

(b) Assumptions, conditions and methodologies related to the attainment of its

quantified economy-wide emission reduction target;

reduction target.

III. Technical review

6. Each developed country Party’s biennial report will be reviewed, where relevant in

conjunction with the annual GHG inventory and national communication review processes,

as follows:

(a) The technical review will be conducted in accordance with existing and

revised guidelines and procedures under the Convention;

(b) The technical expert review will examine the consistency of the annual GHG

inventory with the biennial report and national communication but will not include in-depth

examination of the inventory itself;

review team as well as propose and share any additional information or views;

(d) In addition to the tasks set forth in decisions 2/CP.1, 9/CP.2, 6/CP.3 and

33/CP.7 and their related annexes, the expert review teams should also review progress in

emission reductions and removals related to the quantified economy-wide emission

reduction target. Additional experts may be added to the review team where necessary;

7. The output of the technical review will be a technical review report building on

existing reporting standards and including an examination of the Party’s progress in

achieving its economy-wide emission reduction target.

IV. Multilateral assessment

8. The multilateral assessment will be carried out for each developed country Party on

the basis of the following:

(a) The technical review report referred to in paragraph 7 above and any other

relevant review reports of the annual GHG inventory and national communication;

(b) The biennial report, the national GHG inventory, including the national

inventory report, and the national communication;

economy-wide emission reduction target, including on the role of land use, land-use change

and forestry, and carbon credits from market-based mechanisms;

9. Each developed country Party will be assessed during an SBI session.

10. The multilateral assessment should entail the following:

(a) Any Party may submit electronically through the secretariat written questions

to the Party concerned in advance of the international assessment;

(b) The Party under assessment should endeavour to respond to those questions,

through the secretariat, within two months. The secretariat will compile the questions and

answers and publish them on the UNFCCC website;

FCCC/CP/2011/9/Add.1

assessment with the participation of all Parties. The Party under review may make a brief

oral presentation, which will be followed by oral questions by Parties and responses by the

Party under review.

11. The outputs of the international assessment for each Party will include the

following: a record prepared by the secretariat which includes in-depth review reports, the

summary report of the SBI, questions submitted by Parties and responses provided, and any

other observations by the Party under review that are submitted within two months of the

working group session of the SBI.

12. The SBI will forward conclusions based on the record referred to in paragraph 11

above to relevant bodies under the Convention as appropriate.

FCCC/CP/2011/9/Add.1

Annex III

UNFCCC biennial update reporting guidelines for Parties not included

in Annex I to the Convention

I. Objectives

1. The objectives of the guidelines for the preparation of the biennial update reports

from Parties not included in Annex I to the Convention (non-Annex I Parties) are as

follows:

(a) To assist non-Annex I Parties in meeting their reporting requirements under

Article 4, paragraph 1(a), and Article 12 of the Convention and decision 1/CP.16;

(b) To encourage the presentation of information in a consistent, transparent,

complete, accurate and timely manner, taking into account specific national and domestic

circumstances;

and their effects, needs and support received, in accordance with their national

circumstances, capacities and respective capabilities, and the availability of support;

(d) To provide policy guidance to an operating entity of the financial mechanism

for the timely provision of financial support needed by developing country Parties in order

to meet the agreed full costs of preparing their biennial update reports;

(e) To facilitate the presentation of information on finance, technology and

capacity-building support needed and received, including for the preparation of biennial

update reports;

(f) To facilitate reporting by non-Annex I Parties, to the extent possible, on any

economic and social consequences of response measures;

II. Scope

2. The scope of biennial update reports is to provide an update to the most recently

submitted national communication in the following areas:

(a) Information on national circumstances and institutional arrangements

relevant to the preparation of the national communications on a continuous basis;

(b) The national inventory of anthropogenic emissions by sources and removal

by sinks of all greenhouse gases (GHGs) not controlled by the Montreal Protocol, including

a national inventory report;

methodologies and assumptions;

(d) Constraints and gaps, and related financial, technical and capacity needs,

including a description of support needed and received;

(e) Information on the level of support received to enable the preparation and

submission of biennial update reports;

(f) Information on domestic measurement reporting and verification;

FCCC/CP/2011/9/Add.1

(g) Any other information that the non-Annex I Party considers relevant to the

achievement of the objective of the Convention and suitable for inclusion in its biennial

update report.

III. National greenhouse gas inventory

3. Non-Annex I Parties should submit updates of national GHG inventories according

to paragraphs 8–24 in the “Guidelines for the preparation of national communications from

Parties not included in Annex I to the Convention” (hereinafter referred to as the UNFCCC

guidelines for the preparation of national communications from non-Annex I Parties) as

contained in the annex to decision 17/CP.8. The scope of the updates on national GHG

inventories should be consistent with capacities, time constraints, data availabilities and the

level of support provided by developed countries Parties for biennial update reporting.

4. Non-Annex I Parties should use the methodologies established by the latest

UNFCCC guidelines for the preparation of national communications from non-Annex I

Parties approved by the Conference of the Parties (COP) or those determined by any future

decision of the COP on this matter.

5. The updates of the sections on the national inventories of anthropogenic emissions

by sources and removals by sinks of all GHGs not controlled by the Montreal Protocol

should contain updated data on activity levels based on the best information available using

the Revised 1996 IPCC Guidelines for National Greenhouse Gas Inventories (hereinafter

referred to as the Revised 1996 IPCC Guidelines), the Good Practice Guidance and

Uncertainty Management in National Greenhouse Gas Inventories, and the Good Practice

Guidance for Land Use, Land-Use Change and Forestry (hereinafter referred to as the

IPCC good practice guidance for LULUCF); any change to the emission factor may be

made in the subsequent full national communication.

6. Non-Annex I Parties are encouraged to include, as appropriate and to the extent that

capacities permit, in the inventory section of the biennial update report, tables included in

annex 3A.2 to the IPCC good practice guidance for LULUCF and the sectoral report tables

annexed to the Revised 1996 IPCC Guidelines.

7. Each non-Annex I Party is encouraged to provide a consistent time series back to the

years reported in the previous national communications.

8. Non-Annex I Parties which have previously reported on their national GHG

inventories contained in their national communications are encouraged to submit summary

information tables of inventories for previous submission years (e.g. for 1994 and 2000).

9. The inventory section of the biennial update report should consist of a national

inventory report as a summary or as an update of the information contained in chapter III

(National greenhouse gas inventories) of the annex to decision 17/CP.8, including table 1,

on “National greenhouse gas inventory of anthropogenic emissions by sources and

removals by sinks of all greenhouse gases not controlled by the Montreal Protocol and

greenhouse gas precursors”, and table 2, on “National greenhouse gas inventory of

anthropogenic emissions of HFCs, PFCs and SF

”.

10. Additional or supporting information, including sector-specific information, may be

supplied in a technical annex.

FCCC/CP/2011/9/Add.1

IV. Mitigation actions

11. Non-Annex I Parties should provide information, in a tabular format, on actions to

mitigate climate change, by addressing anthropogenic emissions by sources and removals

by sinks of all GHGs not controlled by the Montreal Protocol.

12. For each mitigation action or groups of mitigation actions including, as appropriate,

those listed in document FCCC/AWGLCA/2011/INF.1, developing country Parties shall

provide the following information to the extent possible:

(a) Name and description of the mitigation action, including information on the

nature of the action, coverage (i.e. sectors and gases), quantitative goals and progress

indicators;

(b) Information on methodologies and assumptions;

(d) Information on the progress of implementation of the mitigation actions and

the underlying steps taken or envisaged, and the results achieved, such as estimated

outcomes (metrics depending on type of action) and estimated emission reductions, to the

extent possible;

(e) Information on international market mechanisms.

13. Parties should provide information on the description of domestic measurement,

reporting and verification arrangements.

V. Finance, technology and capacity-building needs and support

received

14. Non-Annex I Parties should provide updated information on constraints and gaps,

and related financial, technical and capacity-building needs.

15. Non-Annex I Parties should also provide updated information on financial

resources, technology transfer, capacity-building and technical support received from the

Global Environment Facility, Parties included in Annex II to the Convention and other

developed country Parties, the Green Climate Fund and multilateral institutions for

activities relating to climate change, including for the preparation of the current biennial

update report.

16. With regard to the development and transfer of technology, non-Annex I Parties

should provide information on technology needs, which must be nationally determined, and

on technology support received.

VI. Submission

17. The information provided in accordance with these guidelines should be

communicated by each non-Annex I Party to the COP, through the secretariat, in a single

document, in electronic format.

18. Non-Annex I Parties should submit their biennial update reports in English or any

one of the official United Nations languages.

19. Additional or supporting information may be supplied through other documents,

such as a technical annex.

FCCC/CP/2011/9/Add.1

VII. Updating the guidelines

20. These guidelines should be reviewed and revised, as appropriate, in accordance with

decisions of the COP.

FCCC/CP/2011/9/Add.1

Annex IV

Modalities and guidelines for international consultation and analysis

I. Objectives

1. International consultation and analysis (ICA) of biennial update reports under the

Subsidiary Body for Implementation (SBI) will be conducted in a manner that is non-

intrusive, non-punitive and respectful of national sovereignty; ICA will aim to increase the

transparency of mitigation actions and their effects, through analysis by technical experts in

consultation with the Party concerned and through a facilitative sharing of views, and will

result in a summary report.

2. Discussion on the appropriateness of such domestic policies and measures is not part

of the process.

II. Scope and process

3. The ICA process will consist of the following two steps:

(a) A technical analysis of the biennial update reports submitted by Parties not

included in Annex I to the Convention either, as a summary of parts of their national

communication in the year in which the national communication is presented or as a stand-

alone update report, by a team of technical experts in consultation with the Party, and will

result in a summary report. The information considered should include the national

greenhouse gas inventory report, information on mitigation actions, including a description

of such actions, an analysis of their impacts and the associated methodologies and

assumptions, the progress made in their implementation and information on domestic

measurement, reporting and verification, and on support received.

(b) A facilitative sharing of views, which will have as input the biennial update

report and summary report referred to in paragraph 3(a) above.

4. The information referred to in paragraph 3(a) above shall be the input for the

technical analysis by a team of technical experts. Additional technical information may be

provided by the Party concerned. Prior to finalizing the report, the draft summary report

prepared by the team of technical experts will be shared with the Party concerned for

review and comment over the following three months, in order to respond to and

incorporate Party comments in the report. The summary report, incorporating comments

from the Party, shall be finalized in consultation with the Party concerned and be presented

to the SBI.

5. The summary report referred to in paragraph 4 above will be noted by the SBI in its

conclusions and shall be made publicly available on the UNFCCC website.

6. The SBI shall, at regular intervals, convene a workshop for the facilitative exchange

of views, open to all Parties, for all Parties for which there is a biennial update report and a

final summary report. Parties will be allowed to submit written questions in advance.

7. The facilitative exchange of views among Parties will consist of a one- to three-hour

session for each Party or group of Parties. Parties may request to go individually or in a

group of up to five Parties. The session will consist of a brief presentation by the Party or

Parties concerned on their biennial update report, followed by oral questions and answers

among Parties.

FCCC/CP/2011/9/Add.1

8. The outcome of the ICA will be a summary report and a record of the facilitative

sharing of views.

FCCC/CP/2011/9/Add.1

Annex V

Indicative list of activities for the Adaptation Committee

1. Considering relevant information and providing recommendations to the Conference

of the Parties on ways to rationalize and strengthen coherence among adaptation bodies,

programmes and activities under the Convention.

2. Preparing an overview of the capacities of regional centres and networks working on

aspects related to adaptation to the adverse effects of climate change, drawing on relevant

information, and making recommendations to the Parties on ways to enhance the role of

regional centres and networks in supporting adaptation at the regional and national levels.

3. Identifying the process for and scope of overview and other periodic reports on

adaptation issues relevant to the work of the Adaptation Committee.

4. Preparing periodic overview reports synthesizing information and knowledge

relating to, inter alia, the implementation of adaptation actions and good adaptation

practices, observed trends, lessons learned, gaps and needs, including in the provision of

support, and areas requiring further attention, for consideration by the Conference of the

Parties, drawing on information from Parties and on other relevant reports and documents,

including those of other bodies under the Convention.

5. Upon request, considering technical support and guidance to the Parties as they

develop national adaptation plans.

6. Also upon request, considering work in support of the work programme on loss and

damage.

7. Exchanging information with relevant Convention bodies and others, including the

Standing Committee and the Technology Executive Committee, on means to incentivize the

implementation of adaptation actions, including finance, technology, and capacity-building,

with a view to identifying opportunities and further actions for consideration by the

Conference of the Parties.

8. Upon the request of the Parties, providing advice on adaptation-related matters to

relevant Convention bodies, including to the operating entities of the financial mechanism,

as appropriate.

9. Compiling a roster of experts on adaptation issues, building on the existing

UNFCCC rosters.

FCCC/CP/2011/9/Add.1

Annex VI

Composition and working modalities of the Standing Committee

1. The Standing Committee shall be composed of the following:

(a) Ten members from Parties included in Annex I to the Convention (Annex I

Parties);

(b) Ten members from Parties not included in Annex I to the Convention (non-

Annex I Parties), including two members each from the African, Asia-Pacific, and the Latin

America and Caribbean States, one member from a small island developing State and one

member from a least developed country Party.

2. The Standing Committee shall be composed of members nominated by Parties for

approval by the Conference of the Parties, who shall have the necessary experience and

skills, notably in the areas of climate change, development and finance, taking into account

the need to achieve gender balance in accordance with decision 36/CP.7.

3. Standing Committee members shall serve for a term of two years, with the option of

seeking additional terms.

4. The Standing Committee shall elect annually a chair and a vice-chair from among its

members for a term of one year each, with one being a member from a non-Annex I Party

and the other being a member from an Annex I Party. The positions of chair and vice-chair

shall alternate annually between a member from a developed country Party and a member

from a developing country Party.

5. The Standing Committee shall develop further modalities for the participation of

observers from the operating entities of the financial mechanism of the Convention, from

funding entities (multilateral, bilateral and regional) involved in climate finance and from

observer organizations from the private sector and civil society admitted to the Convention.

6. The Standing Committee shall draw upon additional expertise as it may deem

necessary.

7. The Standing Committee shall meet at least twice a year, or more if necessary, and

its first meeting shall take place prior to the thirty-sixth session of the Subsidiary Body for

Implementation.

8. The Standing Committee shall reach its conclusions by consensus.

9. The secretariat shall provide administrative support for the work of the Standing

Committee.

10. The Conference of the Parties will conduct a review of the functions of the Standing

Committee in 2015.

FCCC/CP/2011/9/Add.1

Annex VII

Terms of reference of the Climate Technology Centre and Network

I. Mission

1. The mission of the Climate Technology Centre and Network is to stimulate

technology cooperation and to enhance the development and transfer of technologies and to

assist developing country Parties at their request, consistent with their respective

capabilities and national circumstances and priorities, in order to build or strengthen their

capacity to identify technology needs, to facilitate the preparation and implementation of

technology projects and strategies taking into account gender considerations to support

action on mitigation and adaptation and enhance low emissions and climate-resilient

development.

II Functions

2. The Climate Technology Centre and Network shall perform the functions designated

by the Conference of the Parties as contained in decision 1/CP.16, paragraph 123.

III. Architecture

3. The Climate Technology Centre and Network will consist of the following:

(a) A Climate Technology Centre;

(b) A Network with the participation of the relevant institutions capable of

responding to requests from developing country Parties related to technology development

and transfer, including national technology centres and institutions; regional climate

technology centres and networks; intergovernmental, international, regional and sectoral

organizations, partnerships and initiatives that may contribute to technology deployment

and transfer; and research, academic, financial, non-governmental, private-sector and

public-sector organizations, partnerships and initiatives.

IV. Roles and responsibilities

Climate Technology Centre

4. The Climate Technology Centre shall manage the process of receiving and

responding to requests from developing country Parties and shall work with the Network to

respond to such requests. The Climate Technology Centre will receive these requests from

developing country Parties through the national entity designated for this purpose under

decision 4/CP.13.

5. The Climate Technology Centre would respond to requests by developing country

Parties either by itself or by identifying the appropriate organizations in the Network in

consultation with the requesting developing country Party. The Centre will:

(a) Receive and assess requests and refine and prioritize those requests in

conjunction with the nationally designated entity with the aim of establishing its technical

feasibility;

FCCC/CP/2011/9/Add.1

(b) Respond to requests, through either the Centre or the Network, based on the

use of the most appropriate capacity and expertise in accordance with its approved

modalities and procedures.

Network

6. The members of the Network will undertake the substantive work to address

requests made to the Climate Technology Centre by developing country Parties.

V. Governance of the Climate Technology Centre and Network

7. The Climate Technology Centre and Network shall operate within its terms of

reference and be accountable to, and under the guidance of, the Conference of the Parties

through an advisory board.

8. That advisory board will determine its operational modalities and rules of procedure

based on the functions outlined in decision 1/CP.16, paragraph 123.

9. The advisory board of the Climate Technology Centre and Network will:

(a) Provide guidance on:

(i) The report of the Climate Technology Centre and Network;

(ii) Prioritization criteria, taking into account the strategic considerations and

recommendations provided by the Technology Executive Committee in relation to

decision 1/CP.16, paragraph 120;

(b) Approve:

(i) The report of the Climate Technology Centre and Network;

(ii) Prioritization criteria for responding to requests from developing country

Parties;

(iii) Criteria regarding the structure of the Network and the designation of

organizations as members of the Network;

(iv) The programme of work (e.g. business plan and annual operating plan);

(i) The appointment of the director;

(ii) The budget;

(iii) The financial statement;

(d) Ensure the application of fiduciary standards, and legal and ethical integrity;

(e) Monitor, assess and evaluate the timeliness and appropriateness of the

responses of the Climate Technology Centre and Network to requests;

10. The Climate Technology Centre shall provide an annual report on the activities of

the Climate Technology Centre and Network in order to facilitate the preparation of a joint

annual report by the Technology Executive Committee and the Climate Technology Centre

and Network on the activities of the Technology Mechanism, consisting of the report of the

Climate Technology Centre and Network and the report of the Technology Executive

Committee in accordance with their respective functions.

11. The constitution of the advisory board will be recommended by the subsidiary

bodies to the Conference of the Parties at its eighteenth session.

FCCC/CP/2011/9/Add.1

12. The director of the Climate Technology Centre and Network shall be the secretary

of the advisory board.

13. The host organization will provide the necessary administrative and infrastructural

support for the effective functioning of the Climate Technology Centre and Network.

VI. Organizational structure of the Climate Technology Centre

14. The organizational structure of the Climate Technology Centre will be designed and

managed to maximize the effectiveness and efficiency of its operations.

15. The Climate Technology Centre shall have a lean cost-efficient organizational

structure, within an existing institution, led by a director who will manage a small core

team of professional and administrative staff, as required, to be appointed by and

responsible to the host organization’s governance structure in order to meet its

responsibilities and to efficiently and effectively perform its functions.

16. The director will be approved by and accountable to the host governing body for the

effectiveness and efficiency of the Climate Technology Centre in carrying out its functions.

17. As soon as practicable after appointment, the director will facilitate the timely

recruitment of the staff of the Climate Technology Centre.

VII. Reporting and review

18. The Climate Technology Centre shall provide an annual report on its activities and

those of the Network and on the performance of their respective functions in accordance

with decision 1/CP. 16, paragraph 126, and paragraph 10 above.

19. The report will contain all the information necessary to meet the principles of

accountability and transparency required by the Convention and shall also include

information on requests received and activities carried out by the Climate Technology

Centre and Network, information on efficiency and effectiveness in responding to these

requests, and information on ongoing work as well as lessons learned and best practices

gained from that work.

20. The secretariat, subject to the availability of resources, shall commission an

independent review of the effective implementation of the Climate Technology Centre and

Network four years after its inception. The findings of the review, including any

recommendations regarding enhancing the performance of the Climate Technology Centre

and Network, will be considered by the Conference of the Parties. Subsequently, periodic

independent reviews of the effectiveness of the Climate Technology Centre and Network

will be conducted every four years.

VIII. Term of agreement

21. The initial term of agreement to host the Climate Technology Centre will be for five

years, with two four-year renewal periods, if so decided by the Conference of the Parties.

22. The renewal of agreement is subject to the host organization fulfilling its functions

laid out in paragraph 2 above and its responsiveness to the direction given to it in

paragraphs 4–6 above as identified in the findings of the independent review.

23. The Climate Technology Centre shall operate for initial terms until 2026, at which

time the Conference of the Parties will review its functions and decide whether to extend its

term.

FCCC/CP/2011/9/Add.1

Annex VIII

Criteria to be used to evaluate and select the host of the Climate

Technology Centre and Network and information required to be

included in the proposals

I. Criteria to be used to evaluate and select the host of the

Climate Technology Centre

1. The proposals will be evaluated against the following criteria in accordance with the

methodology given in chapter II.

A. Technical capabilities

2. The prospective host’s technical capabilities will be scored based on the following

sub criteria, which are of equal importance:

(a) The proponent’s comprehensive understanding of the development and

transfer of technologies including in the context of the Convention, in particular the

challenges and opportunities within developing countries as well as the understanding of

regional, sub-regional and sectoral issues and differences regarding specific technologies;

(b) The breadth and depth of expertise as it relates to the subject areas, activities

and roles and responsibilities of the Climate Technology Centre as referred to in the terms

of reference of the Climate Technology Centre and Network contained in annex VII and the

functions of the Climate Technology Centre contained in decision 1/CP.16, paragraph 123;

technology and technology diffusion in developing countries;

(d) Demonstrated capability in international multi-stakeholder cooperation,

including the capability to involve the private sector (e.g. industrial enterprises) in order to

maximize their contributions to Network activities in the development and transfer of

environmentally sound technologies for adaptation and mitigation and the facilitation of

networks.

B. Technical approach

3. The prospective host’s technical approach will be scored based on the following sub

criteria, which are of equal importance:

(a) The overall vision, organizational and administrative structure of the Climate

Technology Centre and its ability to prioritize and respond to a high volume of requests

from Parties which will have potentially broad content, in an effective and efficient manner;

(b) Demonstrated long-term commitment to host the Climate Technology Centre;

structuring the Network in order to accommodate regional and sub-regional issues, also

In this annex, research and development, demonstration, deployment, diffusion and transfer of

technologies are referred to as technology development and transfer.

FCCC/CP/2011/9/Add.1

including the involvement of a wide range of relevant organizations, centres, networks,

initiatives and private-sector entities;

(d) Feasibility of how the Climate Technology Centre will engage with the

Network to create and maintain relationships with developing countries in order to ensure

effective and efficient lines of communication and of how it will coordinate with relevant

organizations to minimize redundancy;

(e) The extent to which the approach focuses on the objective of building

capacity in requesting developing countries over the life of a programme.

C. Existing governance and management structures

4. The prospective host’s existing governance and management structures will be

scored based on the following sub criteria, which are of equal importance:

(a) The effectiveness of the governance structure and the system of the

proponent institution to ensure the evaluation of operational performance against the

following elements: integrity; transparency; fiduciary and ethical standards, consistent with

the principles of the United Nations; and reporting and accountability;

(b) Demonstrated capability to ensure fair and open international tendering for

the procurement of services in line with the fiduciary and ethical standards of the United

Nations;

ensure gender sensitivity, transparency, responsiveness, flexibility, financial management,

auditing and reporting functions, and the ability to provide high-quality administrative,

infrastructural and logistic arrangements, and accessibility to developing country Parties,

including the least developed country Parties;

(d) The ability to simultaneously manage and administer multiple and complex

projects in developing countries in a timely manner, including the ability to work

effectively with different clients and interest groups towards shared and complementary

objectives; and the ability to evaluate the operational performance of project management

and to take measures to enhance its effectiveness.

D. Climate Technology Centre and Network management plan

5. The prospective host’s Climate Technology Centre and Network management plan

will be scored based on the following sub criteria, which are of equal importance:

(a) The feasibility of the plan and the schedule for initiating the rapid operational

start-up of the Centre and the Network;

(b) The strength of the institutional management plan and the effectiveness of the

management structure to ensure legal capacity, transparency, responsiveness, flexibility,

and the identification and management of risks, including legal risks;

to enhance its effectiveness, and to promote an independent and accountable relationship to

the Conference of the Parties and to its related bodies as delegated;

(d) The quality of respective proposed key personnel as demonstrated by the

extent and the appropriateness of their relevant supervisory and management experience,

and their technical qualifications and experience with regard to technology transfer and

diffusion in developing countries;

FCCC/CP/2011/9/Add.1

(e) The transparency and feasibility of the approach on how the proponent plans

to engage with and coordinate the Network members to respond to requests from Parties.

E. Past performance

6. The prospective host’s past performance will be scored based on the following sub-

criteria, which are of equal importance:

(a) The quality of the product or service, including: consistency in meeting goals

and targets; cooperation and effectiveness in solving and learning from problems;

timeliness of performance, including adherence to contract schedules and other time-

sensitive project conditions; and effectiveness of the management at making prompt

decisions and ensuring the efficient operation of tasks;

(b) A proven track record of cost control, including forecasting costs as well as

accuracy in financial reporting;

teams of experts, in-country contractors, private-sector entities and subcontractors, placing

them in the field in a timely manner and providing them with all necessary support;

(d) Demonstrated broad regional coverage, including at both the national and the

local level, and the capacity in relation to technology development and transfer to respond

to requests of developing countries in an expeditious manner;

(e) Experience, as it relates to the functions identified in decision 1/CP.16,

paragraph 123;

(f) Demonstrated experience of setting up, organizing, coordinating and

managing a network.

F. Budget proposal for Climate Technology Centre and Network

7. The prospective host’s budget proposal for the Climate Technology Centre and

Network will be scored based on the following sub-criteria, which are of equal importance:

(a) The budget proposal should be balanced, manageable, comprehensive and

scalable while providing specifics on how it will maintain fiduciary standards and legal and

ethical integrity that is in line with the principles of the United Nations;

(b) The level of resource contributions to be provided in the execution of the

mandate contained in the terms of reference, such as financial and in-kind contributions,

including the total sum in monetary terms;

enable cost-efficiency and financial sustainability.

G. Examples

8. The prospective host’s examples will be scored based on the following sub-criteria,

which are of equal importance. The two scenarios in paragraphs 8(a) and (b) below are only

illustrative, and do not, in any way, prejudge the actual operating budget of the Climate

Technology Centre and Network:

FCCC/CP/2011/9/Add.1

Example budget scenarios for the Climate Technology Centre and Network

(a) Prospective hosts will provide two hypothetical scenarios in their proposals:

one for a total annual budget of USD 10 million per year, and a second for an annual

budget of USD 30 million per year. For each scenario, the proposal should detail the nature,

scope and quantity of services that could be provided so as to meet requests that are in line

with the functions of the Climate Technology Centre and Network as defined in decision

1/CP.16, and the terms of reference as defined in annex VII;

(b) The percentage of the overall operating budget under the hypothetical total

budget scenarios of USD 10 million and USD 30 million per year to be used for

administrative costs, such as infrastructure, budgetary support, human resources and

overheads; proposals with lower percentages of the operative costs will be given higher

scores;

Example activities of the Climate Technology Centre and Network:

responding to the two sample requests, including management and implementation plans

and a description of detailed activities required to achieve the objective of the two sample

requests, accompanied by a budget.

II. Methodology

9. The criteria listed above are presented by major category, so that prospective hosts

will know which areas require emphasis in the preparation of information. These criteria

serve as the standard against which all information will be evaluated, and serve to identify

the significant matters which prospective hosts should address. The evaluation criteria,

which contain sub criteria, and their evaluation weights are shown in the table below:

Evaluation criteria and associated weights

Major category Weight

Technical capabilities 20

Technical approach 20

Existing governance and management structures 13

Climate Technology Centre and Network management plan 15

Past performance 10

Budget proposal for the Climate Technology Centre and Network 10

Examples 12

10. Value for money: the criteria above will be used to assess the value for money of

each proposal according to the following methodology. Proposals need to score a minimum

of 50 per cent for each category, and 60 per cent overall. Best value for money will be

calculated as follows: for the proposals, at, or above, the minimum levels, the total number

of points scored will be divided by the overall budget proposal from the proponent as

referred to in paragraph 7(a) above, for the delivery of the assigned functions of the Climate

Technology Centre and Network, and the ratio will be used as input for the selection

process, where the higher the ratio the more favourable the proposal will be considered.

FCCC/CP/2011/9/Add.1

11. All other criteria being equal, preference shall be given to a host organization

located in a developing country.

III. Information required to be included in the proposals

12. Prospective hosts of the Climate Technology Centre must provide information in

their proposals demonstrating how they will implement the terms of reference. The

proposal should be organized so as to respond to the outline of the evaluation criteria in a

concise manner. Failure to include all information as specified may result in the rejection of

the proposal as being non-responsive. The information required includes the following:

(a) An executive summary;

(b) A main proposal with relevant information organized in accordance with the

evaluation and selection criteria contained in paragraphs 1–8 above;

descriptions of key positions;

(d) An outline of the terms of reference of the director of the Climate

Technology Centre;

(e) A cost sheet;

(f) A schedule for the start-up of the Climate Technology Centre and Network;

(g) Resumes of key staff of the proponent organization proposed to be assigned

to the Climate Technology Centre and Network;

(h) A response to the sample requests as referred to in paragraph 8(c) above;

(i) Statements of work of past activities relevant to the functions of the Climate

Technology Centre and Network, including a matrix of past performance and associated

references;

(j) Audited financial reports of the past three fiscal years;

(k) Other relevant material (e.g. annual reports, social responsibility reports).

plenary

11 December 2011